Resource GUIDE FPMG. Complaint and Response Mechanisms. Food Programming and Management Group, World Vision International

Transcription

1 FPMG Complaint and Response Mechanisms A world where every child is fed and hunger is not tolerated Resource GUIDE First Edition Food Programming and Management Group, World Vision International

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3 Complaint and Response Mechanisms: A RESOURCE GUIDE Food Programming and Management Group, World Vision International

4 2009 by World Vision International All rights reserved. No portion of this publication may be reproduced in any form, except for brief excerpts in reviews, without prior permission of the publisher. Published by World Vision International, 800 West Chestnut Avenue, Monrovia, California U.S.A. Produced by the WVI Food Programming and Management Group on behalf of the World Vision Partnership. Project Manager:Killen Otieno Editor in chief: Jo-Hannah Lavey. Graphic Designer: Duncan Mutavi. Inside photos: book Cover photo:(c)2007 Jon Warren/World Vision page 4 photo section: 2008 Kevin Cook/World Vision Page 12 photo section: 2007 Jon Warren/World Vision Page 33 photo section: 2008 Jon Warren/World Vision

5 contents Foreword...1 Acknowledgements...2 Acronyms...3 SECTION 1 INTRODUCTION...4 Introduction To The FComplaint And Response Mechanism Resource Guide...5 Why Complaint And Response Mechanisms?...8 Humanitarian Accountability Partnership Standard Benchmark 5: Complaints-Handling...11 SECTION 2 HOW TO IMPLEMENT A COMPLAINT AND RESPONSE MECHANISMS Steps To Implement Complaint And Response Mechanisms...14 Step 1: Ensure management support...15 Step 2: Ensure systems are in place for handling complaints...16 Step 3: Sensitise communities...18 Step 4: Find out how the community would like to complain and give feedback...19 Step 5: Develop a complaint and response mechanism with detailed procedures...21 Step 6: Provide the resources and support required for the CRM to function...24 Step 7: Receive and respond to complaints...31 Step 8: Learn...32 ANNEX...33 Introduction...34 A. Complaint and Response Mechanism Systems and Policies...36 B. Humanitarian Accountability Assessment...49 C. Complaint and Response Mechanism Development...56 D. Complaint and Response Mechanism Support and Resources...95 E. Information Provision F. Data Collection and Reporting Protection Resources i

6 foreword Dear Colleagues, On behalf of FPMG I am proud to present you with the first edition of FPMG s Complaint and Response Mechanism Resource Guide. This Resource Guide comes to you as a collection of resources on how to establish and implement formal complaint and response mechanisms. The guide focuses on Community Help Desks and Suggestion Boxes, the mechanisms most likely to be applicable to food distributions in a broad range of contexts. FPMG recognises the need to take practical and immediate steps to strengthen accountability towards the vulnerable communities who receive food aid. By setting up complaint and response mechanisms in food aid projects, we are demonstrating that we are ready to open ourselves to the scrutiny of those we claim to serve. We recognise that our decisions and actions may have unintended negative effects on communities and we are committed to addressing and preventing such instances. We regard addressing complaints from affected communities as a positive process and an opportunity to learn and improve our work. It is for this reason that we will actively seek and address complaints. For many years World Vision has retained its global reputation as the largest and most respected organisation in relation to food programming. This is has been the result of our investment in training and establishment of strong commodity accounting systems. However, FPMG recognises that this in itself is not enough and has therefore recently stepped up Humanitarian Accountability as a new and critical component in food programming. We need to make sure our projects are accountable to beneficiaries. We have partnered with the Humanitarian Accountability Partnership to pilot complaint and response mechanisms in Zimbabwe, Sudan, Kenya and Honduras. We have been blessed to learn from the work accomplished in Sri Lanka and Myanmar by the HEA accountability department called H-Account. This Resource Guide provides practical steps and resources that show you how to implement complaint and response mechanisms this yourself. I challenge you to use the resources, learn from our experiences, and implement safe and effective complaint and response mechanisms in your projects. Walter Middleton Vice President Food Programming and Management Group World Vision International 1

7 acknowledgements ACKNOWLEDGEMENTS This Resource Guide has involved many people in its development and compilation. Special thanks to the people below for their significant contributions. Resource Authors People listed here have authored or significantly contributed to the development of resources. The resources may have been edited for inclusion in the Resource Guide. Alexandra Levaditis Joshua Pepall Julian Srodecki Killen Otieno Louise Searle Lupthathe Nyathi Myrna El Turn Tim Rae Annex B: HA Assessment FGD Adult Guide, Adult Script, Analysis and Consolidation templates; with Joshua Pepall CHD ToT PowerPoint Presentations Annex E: Information Provision for Vulnerable Groups, Notice Board Design Annex A: WV Complaints-handling Map Annex C: Suggestion Box Contextualisation Session Plan Annex Protection: Food Programming and Protection, Sample Protection Questions for Food and Non-Food Distribution Assessments Annex F: Collate, Analyse and Reporting Steps and Templates Annex B: HA Assessment FGD Child Guide Annex C: ToT Session Plan on Trust Building Jo-Hannah Lavey with World Vision Zimbabwe Section 2: How to Implement a Complaint and Response Mechanism Annex A: National Level CRM Policy Template Annex C: CHD Guidelines, Suggestion Box Guidelines, CHD Contextualisation Workshop Session Plans Annex D: CHD Register Option B, CHD ToT and 1 Day Training Session Plans Annex E: Information Provision Guidelines, Strategy Template, and with Tawanda Chisango Poster Templates, Flyer Templates Contributors and Reviewers The people and World Vision offices listed here have significantly contributed to the development and review of the concepts found in the resource guide. Killen Otieno Julian Srodecki Monica Blagescu Michelle Ndhlovu Joshua Pepall World Vision Zimbabwe World Vision Kenya World Vision Lesotho World Vision Myanmar World Vision Sudan World Vision Sierra Leone World Vision Sierra Leone World Vision Honduras World Vision Sudan World Vision Lesotho Training Review The people listed here have provided feedback on the training session plans in the resource guide. Paula Thomson Alida Rae Mayze Ana da Silva Funding The people listed here kindly allocated the funds to make this project possible. Thabani Maphosa Duncan Cambell Chris Conrad 2

8 Acronyms CBO Community Based Organisation CHD Community Help Desk CRM Complaint and Response Mechanism FDP Food Distribution Point FGD Focus Group Discussion FPMG Food Programming Management Group GEG Good Enough Guide HA Humanitarian Accountability HAP Humanitarian Accountability Partnership NFI Non-Food Item NGO Non-Governmental Organisation PDM Post Distribution Monitoring ToT Training of Trainers WFP World Food Programme WV World Vision 3

9 section One Introduction 4

10 SECTION one Introduction to the FPMG Complaint and Response Mechanism Resource Guide Introduction FPMG is committed to improving accountability in its programming. Humanitarian accountability focuses on accountability to beneficiaries and the communities in which we work. It requires responsible use of power, and the participation of community members in the aid program. This is best explained in the following definitions of accountability: RESPONSIBLE USE OF POWER Accountability is the means by which power is used responsibly Being accountable to beneficiaries requires that humanitarian agencies take account of beneficiaries opinions, concerns, suggestions, and complaints. - Humanitarian Accountability Partnership Standard PARTICIPATION Accountability means making sure the women, men and children affected by an emergency are involved in planning, implementing, and judging our response to their emergency too. - Good Enough Guide FPMG recognises Complaint and Response Mechanisms (CRMs) are a critical component of humanitarian accountability. A Complaint Mechanism can be defined as: Simple procedures and mechanisms that give users access to safe means of voicing complaints on areas relevant and within the control of the agency. - Danish Refugee Council s Complaint Mechanism Handbook 2008 FPMG has included the word Response to highlight the importance not only of receiving complaints, but also responding to them. Complaint and Response Mechanisms restore dignity and empower beneficiaries. They help us identify and fix mistakes that improve the effectiveness of our programs, and reduce organisational risk by discouraging corruption, abuse and theft. Donors recognise this and are strongly supporting CRMs, even insisting on CRMs in some cases. CRMs also contribute towards the ongoing professionalisation of FPMG programming and are an innovative contribution to World Vision s broader work in Humanitarian Emergency Affairs and Transformational Development. In evidence of FPMG s commitment to Humanitarian Accountability and Complaint and Response Mechanisms, FPMG has set the goal that all food programs should have a functioning Complaint and Response Mechanism by This Resource Guide is based on practical learning from the FPMG Community Help Desk Pilot conducted with the Humanitarian Accountability Partnership in Zimbabwe, Sudan, Kenya and Honduras, as well as the lessons from other countries experienced in Complaint and Response Mechanisms including Sri Lanka, Lesotho, Myanmar and Sierra Leone. Purpose The CRM Resource Guide is designed primarily for FPMG practitioners who wish to implement CRMs in food programming. It is a collection of resources and templates that practitioners can quickly 5

11 SECTION one contextualise for their own purpose. It is in its First Edition; improvements will be made based on feedback and lessons learned from future implementation. While CRMs are best developed entirely specific to the context, this Resource Guide is designed around two key mechanisms that are often applicable to food programming: Community Help Desks (CHDs) and Suggestion Boxes (SBs). Food programming and food distributions in particular have aspects that suit these two mechanisms well: Short, dispersed but regular contact with communities, e.g. monthly food distributions. Almost all beneficiaries present in the one place at the one time. Communities far from the office meaning the CRM must go to them, they cannot access an office based system. Large numbers of beneficiary communities limiting the ability of staff to travel to each community often. This limits their ability to collect complaints more often and their ability to develop trusting relationships with communities. Culture of community involvement where communities expect to volunteer for roles such as CHD members. The validity of these mechanisms for each context is tested by conducting Humanitarian Accountability assessments as one of the steps to implement a CRM. Practitioners who find that these two mechanisms are not appropriate can follow the same process and will find many of the resources directly applicable. Resources not directly applicable will serve as useful examples. The Danish Refugee Council s Complaint Mechanism Handbook is an excellent practical guide to developing a highly contextualised CRM, and is recommended for those who need resources beyond what is included in this guide. How to use this Resource Guide Read Section 2: How to Implement a Complaint and Response Mechanism. The purpose of this section is to explain each of the steps required to implement a CRM, focusing on Community Help Desks and Suggestion Boxes. It also explains how to use the resources that are included in this guide as they relate to each step of the process. Once you have read Section 2, use the information to plan how you will implement a CRM in your context. You can then access the relevant resources which can be found in the Annex. If you are not familiar with the concept of complaints, it is highly recommended that you first conduct background reading. There is some basic information in this Section, including a brief review of why we have CRMs, and the international benchmark for complaints-handling by the Humanitarian Accountability Partnership. This will give you an idea of the standard FPMG aims to achieve in all of its CRMs. This information is not sufficient if this is the first time you are trying to implement a CRM. For more information, it is strongly recommended that you access the references listed below. They are all excellent resources, in particular Chapter 2: Reference Material of the Danish Refugee Council s Complaint Mechanism Handbook Points to consider There are three key lessons to consider before using this resource guide. The first is that a poorly implemented CRM can be worse than no CRM at all. It can encourage distrust and further disempower communities the opposite of what a good CRM will do. World Vision has learned this from experience. Take the time to plan and prepare to implement a quality CRM. 6

12 SECTION one Secondly, all the systems in the world will not guarantee that you will receive all the complaints, particularly sensitive complaints that you need to ensure protection and quality programming. Systems are no substitute for trusted relationships with community members. Continue to encourage staff to informally discuss programs and issues with community members, and act on feedback they receive. Finally, a CRM is but one aspect of humanitarian accountability. A CRM alone will not make your program accountable to beneficiaries. Information provision is strongly interlinked with CRMs, and is covered in this manual (Refer to Step 6: Provide the Resources and Support for a CRM to function). For more information on other aspects of accountability, refer to the Humanitarian Accountability Partnership s Guide to the HAP Standard and the Good Enough Guide, referenced below. Feedback As this is the First Edition of FPMG s CRM Resource Guide, we are very interested in learning from its application to help us improve. Feedback is welcome, and can be submitted to [email protected] Key references The three key references that will assist practitioners to understand the concepts behind CRMs and how to implement them are: Danish Refugee Council s Complaint Mechanism Handbook Humanitarian Accountability Partnership Guide to the HAP Standard d&tag=&cid= Emergency Capacity Building Project s Good Enough Guide 7

13 SECTION one Why Complaint and Response Mechanisms? The Benefits CRMs are formal mechanisms to help us to understand our programs from the beneficiaries perspective, giving us the information to adjust our programs to best meet beneficiary community needs. There are many benefits, including: Dignity and empowering stakeholders When stakeholders have an issue, they are heard and responded to. Stakeholders issues are not ignored. Stakeholder issues and opinions can be incorporated in to program implementation and future program design, increasing their influence. Aspects of programs that inadvertently reduce the dignity of stakeholders can be identified and addressed. Discouraging corruption, theft, abuse People who intend to engage in harmful activities are aware that anybody is able to identify and complain about them. The CRM in this case can act as a deterrent. Cases of corruption, theft and abuse are more likely to be identified and addressed. Increased transparency Managers are aware of the issues faced in the field, and can support field staff to resolve them. Beneficiaries can question World Vision actions and be given a response, increasing their trust and understanding of the program. Improved programming Mistakes are identified and can therefore be acted upon and improved. Suggestions are heard and taken on board. Difficulties faced by stakeholders in accessing the program are understood and can potentially be minimised. Targeting is improved through identification of inclusion and exclusion errors and allowing for complaints during the selection process, improving the effectiveness of the program. Stakeholders including donors and partners can have confidence that issues will be raised and addressed. Some may have access to the reports on issues to increase their understanding of the program. Saving money While it is time consuming to listen to and address issues, once the issues are resolved the program will be more effective, and can be more cost-efficient particularly through improved targeting. World Vision found this to be the case, saving millions in Sri Lanka, as detailed in the Business Case referenced below. Improved relationships with communities CDA s Listening Project (referenced below) found that beneficiaries feel that the aid industry is becoming systematised and is not engaging with communities sufficiently to address real issues and have the most effective programs. A CRM is one method through which to communicate and develop relationships and trust with stakeholders. 8

14 SECTION one Early warning CRMs help us to identify issues early, before they become too large and unmanageable. CRMs and Field Staff I can see how an effective complaint and response mechanism in place is good for the beneficiaries. But why is it good for us as World Vision field staff? It s just more work and makes us look bad. The first point is correct an effective complaint and response mechanism is certainly more work. It does take some effort to ensure that the CRM works properly. So why is this a good thing when it identifies the bad things that are going on in the program? There are a number of ways in which a CRM helps field staff: 1. Identification of issues at the field level that you are able to fix yourself, demonstrating to management a commitment to improved programming. 2. Documentation and evidence of more numerous and serious issues that you can use to garner management support to address the issues. 3. Improved programming and targeting, which will improve the effectiveness of your program and the impact of your program overall, reflecting on your performance as field staff. 4. Better relationships with community members. It is another avenue for communication, which helps community members to trust World Vision more. The better our relationships and communication with community members, the more likely our programs can be designed and implemented to be most effective in meeting their needs. 5. Security in knowing that if the program is inadvertently harming people through corruption, abuse or theft the organisation is more likely to find out about it, and make sure that the harm is stopped. CRMs are NOT about making field staff look bad by identifying the issues. All programs will have issues, this is clearly understood by anyone involved in aid programs. CRMS are about identifying the issues so that we can resolve them. Field staff who are able to do this will improve their programs and be very well regarded by management. The Risks In outlining the benefits, it is important to realise that there are real risks in implementing Complaint and Response Mechanisms, the key risk being that a CRM not implemented properly can be worse than no CRM at all. In Zimbabwe for example, when a CRM was established before proper systems and support were in place, one beneficiary claimed the CRM is in place to keep us quiet. They just take our complaints so that we will not complain to others. This was of course not the intention of World Vision Zimbabwe, but when responses to complaints were not timely or regular, it became the perception of some of the beneficiaries. The Danish Refugee Council s Complaint Mechanism Handbook 2008 pages details the key risks, including the security of staff and stakeholders in implementing a complaints mechanism in volatile contexts the security of stakeholders who choose to complain about sensitive issues insufficient resources including staff time, resulting in an ineffective CRM the CRM alters the power structure in communities staff fear of being overburdened These risks are not reasons not to implement a CRM. All of these risks can and should be carefully considered and managed when developing a CRM for your context. 9

15 SECTION one Further Reading: In addition to the Danish Refugee Council s Complaint Mechanism Handbook 2008, the Humanitarian Accountability Partnership s Guide to Implementing the HAP Standard and the Good Enough Guide (all referenced in the Introduction to this Resource Guide), the following are the vuluable resources: CDA s Listening Project, for a global analysis of beneficiary perspectives on their role in aid: Why Do Accountability? A Business Case from Sri Lanka, for an overview of the benefits of a World Vision Humanitarian Accountability program, which includes CRMs. Available on the HAP website at: 10

16 SECTION one International Complaints-handling Standard Any complaint and response mechanism developed by World Vision needs to adhere to the international complaints-handling standard as defined by the Humanitarian Accountability Partnership. HAP Standard Benchmark 5: Complaints-handling The agency shall establish and implement complaints-handling procedures that are effective, accessible, and safe for intended beneficiaries, disaster-affected communities, agency staff, humanitarian partners and other specified bodies The agency shall ask intended beneficiaries and the host community about appropriate ways to handle complaints. The agency shall establish and document complaints-handling procedures which clearly state: The right of beneficiaries and other specified stakeholders to file a complaint The purpose, parameters and limitations of the procedure The procedure for submitting complaints The steps taken in processing complaints Confidentiality and non-retaliation policy for complaintants The process for safe referral of complaints that the agency is not equipped to handle The right to receive a response The agency shall ensure that intended beneficiaries, affected communities, and its staff understand the complaints-handling procedures. The agency shall verify that all complaints received are handled according to the stated procedures. The agency shall establish and implement an effective and safe complaints-handling mechanism for its staff, consistent with the requirements set out in 5.2. For more information, refer to the Guide to the HAP Standard, Benchmark 5: Complaints-handling (p79). In this section you will find information about complaints-handling, how to implement it, tools and reference materials 11

17 section TWO section Two How to Implement Complaint and Response Mechanisms (CRMs) 12

18 SECTION two SECTION two How to Implement Complaint and Response Mechanisms (CRMs) The purpose of this section is to explain how to implement a Complaint and Response Mechanism, focusing on Community Help Desks and Suggestion Boxes. This section is divided in to each of the 8 Steps to Implement a Complaint and Response Mechanism. Under each step is an explanation of how to carry out the step, a list of resources that are included in the Annex that will help you to implement that step, and an explanation of how to use each of the resources. Not all the steps have resources included in this manual. Additional resources on Protection and how it relates to food programming are included at the end of the list of resources for those who would like a briefing on this very important cross-cutting theme. A summary of the Basic Steps to Implement CRMs can be found on the following page. 13

19 SECTION two SECTION two Steps to Implement Complaint and Response Mechanisms Steps Tasks Resources 1. Ensure management support Sensitise management 2. Ensure systems are in place for handling complaints Review existing systems Review FPMG CRM Policy Write a CRM Policy for the Country A. CRM Systems and Policies 3. Sensitise communities Engage communities on the concept of complaining 4. Find out how the community would like to complain and give feedback Conduct a Humanitarian Accountability Assessment B. HA Assessment 5. Develop a CRM with detailed procedures 6. Provide the resources and support required for the CRM to function. Select an appropriate CRM Write CRM guidelines Conduct a workshop to contextualise the guidelines with staff and community representatives Design and procure necessary resources Conduct a Training of Trainers for key staff Train staff and the community Inform the community about the help desk Provide information to prevent complaints C. CRM Development D. CRM Support and Resources E. Information Provision 7. Receive and respond to complaints Receive complaints and feedback Resolve complaints Respond to complaints Document the complaint and the response 8. Learn Collate, analyse and report complaints Incorporate learning in to programming F. Data Collection and Reporting 14

20 SECTION two SECTION two Step 1: Ensure management support Task:sensitise senior management Implementing any new system in an organisation is much easier with senior management support. This is particularly true for CRMs, as they illicit and deal with sensitive organisational problems. Engage senior management first. This may include a presentation and training for senior management, and individual meetings. For ideas on engaging senior management, refer to The Danish Refugee Council s Complaints Mechanism Handbook 2008, Chapter 3 page 44. You can further engage management by involving them in Step 2 in conducting a HAP Self Assessment. This will highlight to them the strengths and weaknesses of any existing systems. 15

21 SECTION two SECTION two Step 2: Ensure systems are in place for handling complaints Tasks: review existing systems review FPMG CRM Policy write a CRM Policy It is important to have methods in place for handling complaints before you begin soliciting them. Start by reviewing and documenting existing systems for receiving, addressing and responding to complaints. Check what systems exist for theft, fraud, corruption, sexual exploitation and abuse, programmatic problems e.g. inclusion and exclusion errors, political interference, child protection. A good way to do this is to conduct a self-assessment exercise with staff in order to get key stakeholders in your office to think through how complaints are currently handled, discuss their challenges with existing systems and resources and identify gaps. Use the HAP Self Assessment questionnaire, focusing on Benchmark 5 to lead this discussion with staff. This activity is also an excellent opportunity to engage senior management in the CRM process. Where there are gaps for addressing and responding to certain complaints, establish a system to ensure this is covered. The Danish Refugee Council s Complaints Mechanism Handbook 2008, Chapter 3 page 55 can help you do this. To make certain all systems are commonly understood, you may need to document them. It is recommended that a national level CRM Policy is written and adopted by senior management which outlines how various complaints will be dealt with. For FPMG programs, these must be in line with the FPMG CRM Policy. Use the WV CRM Policy as a national level Principle template to contextualise as appropriate. Resources: A. CRM Systems and Policies HAP Self Assessment Questionnaire Map of Complaints-handling in World Vision FPMG CRM Policy WV CRM Policy How to use these resources Resource 1: HAP Self-Assessment questionnaire Resource 2: Map of Complaints-handling in World Vision Use: To Help Review Existing Organisational Systems and Policies The first step is to review existing organisational systems and policies for receiving, addressing and responding to complaints. This will require an investigation. The Map of Complaints-handling in World Vision will help you to think through what currently exists. Another useful resource is the HAP Self-Assessment questionnaire, focusing on Benchmark 5. The best way to use this is in a workshop or meeting with key stakeholders following an introduction to CRMs. You may choose to do this with senior management to engage them on the status of CRMs in the organisation and/or with a group including representatives from commodities, finance, human resources, field staff and child protection. Following the self-assessment, ask the group to list what procedures and documentation exists in the organisation to receive, address and respond to complaints. Collect any related documentation. Any system that is developed must link in to these existing systems. 16

22 SECTION two SECTION two Use this information to identify any gaps for how to handle complaints. Where there are gaps, you will need to establish mechanisms to address these gaps. For assistance, refer to the Danish Refugee Council CRM Handbook, Chapter 3 page 55. Resource 3: FPMG CRM Policy Use: Review to Ensure National Level Policy is in Line with FPMG CRM Policy Read the FPMG CRM Policy. Distribute to relevant managers and staff dealing with FPMG programs. All CRMs implemented throughout the partnership need to adhere to the principles outlined in the Policy. To make sure this happens in your country, ensure that any National Level CRM Policy is in line with the FPMG CRM Policy. The FPMG CRM Policy was developed during the FPMG Lessons Learned workshop drawing on the experience of field pilots, HAP and various FPMG experts. Resource 4: National Level CRM Policy template Use: A template or example to write your own National Level CRM Policy The second policy is a template for national offices to amend for their purposes. Complete gaps and contextualise as appropriate. This is where you are able to document generic standards upon which all CRMs for the organisation are based. Such standards are important to ensure that complaints are received and handled appropriately and consistently across the organisation. These standards need to be in line with what already exists in the organisation. The work that you did reviewing existing policies and developing new systems for handling complaints where gaps existed can be put together and documented here. There may be a number of decisions required to write this policy. Consultation with selected stakeholders will be required to ensure acceptance. Appropriate sign-off and adoption by senior management can make the document official policy at the national level. A National Level CRM Policy builds on the principles of the global FPMG CRM Policy, but includes more details to guide implementation, in particular around the ways in which complaints are handled by that office. A National Level CRM Policy remains generic enough to apply to any CRM used in that country. You can have feedback and complaints mechanisms such as Help Desks without a CRM Policy. In this case, it is recommended that you cross check the design of the mechanism with the National Level CRM Policy template to ensure that all key points and standards are included. 17

23 SECTION two Step 3: Sensitise communities Task: engage communities and community leaders on the concept of complaining Many of the communities we work with may not be familiar with the concept of complaining and providing feedback. It is important that before we conduct focus groups in Step 3, that communities have a thorough understanding of what it means to complain and provide feedback. When communities do not understand the concept of complaints, Step 4 becomes difficult and you may find yourself talking about many things other than complaints. Sensitising communities require meetings with community leaders first, followed by discussions and public meetings with community members. If the culture that you are working in already clearly understands the concept of complaints you may not need to do this step. This might happen in communities where CRMs have been successfully used, or where there is a national corporate and Government culture of customer service, open to complaints and feedback. If you are unsure, it is best to consult the community to find out. Begin by explaining that World Vision wants to make sure its programs are working how they are supposed to be, and that we need to know what their issues are in order to be able to fix them. To do this, we would like to plan in the future focus groups to understand how people would like to complain. Firstly, we need to find out what people think about complaining. Ask questions to understand: What does the community understand complaints to be? How comfortable are people with the idea of complaining? If they are not comfortable, is there another way of expressing it? For example, different words or phrases like expressing dissatisfaction or raising issues or concerns. What are the barriers to understanding the concept of complaining? How can we overcome those barriers? 18

24 SECTION two SECTION two Step 4: Find out how the community would like to complain and give feedback Task: conduct a Humanitarian Accountability Assessment It is important that any complaint and response mechanism matches the community in which you are working. If the community does not feel comfortable using the CRM, the CRM will not be used and cannot possibly be effective. Even if you are from the country or even community in which you are operating, you may make incorrect assumptions if you do not conduct an assessment first. Conduct a humanitarian accountability assessment to find out existing complaints systems from the community perspective and how people would like to complain to the organisation and receive responses to those complaints. If you are planning on implementing a help desk, use this opportunity to ask the community if this would work for them. If the feedback is positive, you may be able to plan details e.g. who would make up the Help Desk Committee. It is also an excellent opportunity to find out the best way to provide information to the community. Use the FGD Assessment Guides as they are, or amend for your purpose. Resources: B. Humanitarian Accountability Assessment HA FGD Adult Guide HA FGD Child Guide Resources available in soft copy: HA FGD Adult Script HA FGD Analysis Form HA FGD Consolidation These resources will guide you through conducting a humanitarian accountability assessment using focus group discussions. The topics are broad, covering a range of humanitarian accountability areas. If you would like to focus the discussion, use Section 3: Information Gathering/Complaints at a minimum, although it is recommended that Section 2: Information Provision and Section 4: Consultation are also included as they will provide you valuable information for designing your CRM. The aim of Section 3: Information Gathering/Complaints is to understand the community s general preference for filing complaints to World Vision. You may be at a stage where you would like to get detailed information about the type of CRM preferred by the community. If so, you will need to ask additional questions depending on your context, aiming to really understand how communities would like to file complaints, including sensitive complaints. In some contexts where you have a good understanding of general community preferences, it may be relevant to present a few CRM options and ask participants to vote on what their preference is, similar to the voting activity conducted for the information provision section of the FGD. The CRM Options resource might help to give you some ideas. Ensure that all information related to complaints handling is documented in detail by note takers. It is assumed that this process will be carried out by staff who are trained and competent in conducting assessments. 19

25 SECTION two SECTION two How to use these resources Step 1: Preparation Use the Focus Group Discussion Guide as an overview during preparations for the focus group discussions. You may choose to remove some broader accountability questions and include more detailed questions about CRM preferences. Step 2: Conduct focus groups Use the Focus Group Discussion Script (in soft copy) as a script or guide for the facilitator, and as a recording template for the note taker. Ensure that the facilitator probes for detailed information about CRM preferences. Step 3: Analyse data Use the Focus Group Discussion Analysis Form (in soft copy) to analyse the notes taken after each focus group discussion. Step 4: Consolidate data Use the Focus Group Discussion Consolidation Guide (in soft copy) to consolidate the data analysed from all focus group discussions. You may want to do this by demographics or other grouping e.g. women, men, children, as well as an overall consolidation. Step 5: Report and use data This data will be used to inform the selection and design of your CRM. The results of the FGD will be useful for managers and staff working in the areas where the FGD was conducted. Write a simple report to present to these stakeholders. There is also a focus group discussion guide to be used with groups of children. It is strongly encouraged that children are consulted as well as adults during a humanitarian accountability assessment and that CRMs are made accessible to children. 20

26 SECTION two SECTION two Step 5: Develop a complaint and response mechanism (CRM) with detailed procedures Task: Select an appropriate CRM Write CRM guidelines Conduct a workshop to contextualise the guidelines with staff and community representatives Complaints-handling guidelines are critical to ensure that all stakeholders have a common understanding of your complaint and response mechanisms, and that the CRM can be applied fairly to all who access it. CRMs cannot be successfully implemented without some form of comprehensive instruction for how to do it, like guidelines. The Guidelines are based on the assumption there is an underlying CRM Policy that stipulates how complaints will be dealt with by your organisation, as outlined in Step 2. If there is no such policy, it is necessary to review the CRM Policy template, and ensure that all aspects are included in these guidelines, in particular, how complaints will be handled in the organisation. Firstly, select a CRM based on the outcome of the humanitarian accountability assessment, and the operational resources and constraints of the program. This may require designing a new type of CRM depending on your context. If you are not using Help Desks or Suggestion Boxes, refer to the Danish Refugee Council s Complaints Mechanism Handbook 2008, Chapter 3 for assistance. Selected CRMs are listed in the CRM Options resource with their advantages and disadvantages to assist you make this decision. Note that help desks cannot handle sensitive complaints as they are described in this resource guide. Suggestion boxes have the potential to receive sensitive complaints, but only if the boxes are managed in a very specific manner, carefully restricting those who have access to the complaints and communicating this process to communities. Collecting sensitive complaints is one of the more difficult aspects of the CRM process. If this is important in your context, you may need to spend some time to design the best possible mechanism for making this happen. Refer to the Danish Refugee Council s Complaints Mechanism Handbook 2008, Chapter 3 for assistance. Keep in mind that if you reassure communities that a CRM is confidential, you MUST ensure that it is. CRMs can potentially cause significant harm if a person makes a confidential complaint that is discovered by the wrong person. If you select Community Help Desks or Suggestion Boxes as your mechanism, the resources below will be of most value. Start by making initial changes to the guidelines provided, then conduct a contextualisation workshop with staff and representatives from the community to finalise the guidelines to meet the needs of the organisation and the beneficiaries. If you select another CRM, these resources can still give you an idea of the type of document we have found useful. Write your own guidelines, and use the contextualisation workshop to get feedback and make decisions together with the staff and communities that will be using the mechanism. A contextualisation workshop is not crucial to the process, but will increase the CRM s applicability to the context and help with buy-in from staff and the community 21

27 SECTION two SECTION two Resources: C. CRM Development CRM Options Community Help Desk Guidelines Suggestion Box Guidelines Community Help Desk Contextualisation Workshop [Trainers Agenda, Session Plans and Handouts] Suggestion Box Contextualisation Session Plan How to use these resources You can use the CRM Options to assist in your decision in which CRM is most applicable. This list is NOT exhaustive. There are innumerable ways to structure a CRM to best suit your context. If you are not using a Community Help Desk or Suggestion Box it is very important to refer to the Danish Refugee Council s Complaints Handbook 2008, Chapter 3 to help you design a mechanism that best works for your context. The following instructions apply only to those who choose to implement Community Help Desks and/ or Suggestion Boxes. The goal is to create Community Help Desk Guidelines and/or Suggestion Box Guidelines that suit your purpose. Use the example guidelines provided and adjust them according to your organisation, the context and the communities that you work with. All aspects of the examples can be adjusted. It is recommended that this is done in a workshop together with staff and community representatives, including vulnerable groups. Once you have completed this step, you can make all changes and remove the instructions contained within this document to create a final set of guidelines. If you choose to contextualise the guidelines during a workshop with staff and community representatives, the Community Help Desk Contextualisation Workshop, and the Suggestion Box Session Plan can help you. Both the Community Help Desk Guidelines and the Suggestion Box Guidelines are used during the contextualisation sessions. The Suggestion Box Contextualisation Session Plan is an example of a session you can run with a group to help contextualise those guidelines. The Community Help Desk Contextualisation Workshop includes a Workshop Trainers Agenda, Session Plans and Handouts for a one day workshop designed to amend the Community Help Desk Guidelines to best fit a particular context. The session plans are written for experienced trainers to use and amend as appropriate. You will also need a minute taker to take detailed notes throughout. Think of the resources as templates, like the guidelines. Take the time to review both, and adjust according to your priorities. If you would like to contextualise a different CRM, you can use the same process but with some additional preparation, see below for instructions. Participants The workshop is designed to include both staff and community members. The participants need to be those who have an interest in determining the Help Desk or Suggestion Box Guidelines, as well as those who will be using it. This would include a mix of project managers, field staff, community leaders and community members. The recommended number of participants is 20. Depending on your context, many of your participants may not understand English, or be able to read. 22

28 SECTION two SECTION two In this case, the workshop will need to be amended accordingly. You may want to translate the videos and read out the translation while the video is playing, partner up literate and non-literate participants, ensure everything written is also read out and minimise handouts. The agenda is currently tight, is written for groups where approximately 70% can read and write and assumes there is not likely to be significant debate over the guidelines. If you would like a more relaxed approach, have lower group literacy levels or expect debate, you may like to Extend the time allowed e.g. take 1.5 to 2 days to complete the work and/or Use the afternoon session as option (2) focusing on parking lot issues or Extend the time taken to work on the guidelines to take the afternoon session as well, addressing issues as you go along. Invitation Invite participants at least one week in advance, detailing the objectives of the workshop. Contextualising other CRM Guidelines The same workshop can be used to contextualise guidelines for other types of CRMs. To do this, you will need to first prepare (a) a presentation on the CRM to substitute for the CHD video (b) draft guidelines for the CRM and (c) a draft resource kit that can be finalised in the workshop. Reference Refer to the Sphere Trainers Guide for assistance with training preparation: Sections B, C, D

29 SECTION two Step 6: Provide the resources and support required for the CRM to function Task: design and procure necessary resources train staff and the community inform the community about the help desks provide information to prevent complaints There are three key categories of resources and support that are essential for any CRM to function effectively: Physical resources including a complaints register, desk, chairs, banner, etc Training for staff and the community on the CRM and their role Information about help desks, World Vision, the program, beneficiary rights Physical resources CRM s cannot operate effectively without resources. What resources and how they are provided will depend on the CRM, your time and budget. Some physical resources can be provided by communities, others will need to be provided by World Vision. Keep in mind that professional resources can add to the respect provided to the CRM. The Help Desk Resource Kit lists the recommended resources for help desks. One critical resource is the Complaints Register for CHDs. CHDs must have a carefully designed Complaints Register in order to collect the information required to investigate, respond to and report on the complaints received. Suggestion Boxes could use a blank sheet of paper, but will be more effective with a Suggestion Box Form. Why record complaints - pass on full information to the appropriate person to deal with the complaint - the complainant can see that their complaint is being documented and taken seriously - to collate and analyse complaints received to inform future programming What to record The key principle is to record as much detail as possible about both the complainant and the complaint. At a minimum, you will need: - name and contact details (although you may like to keep this optional if you are accepting anonymous complaints) - date the complaint is received - details of the complaint - agreed date for response - signature of the complainant - date resolved - details of resolution In addition, the complainant should receive a copy of the complaint form, or at least a receipt that they can keep to acknowledge that their complaint has been lodged, and when a response can be expected. The Complaints Register could be in the form of a plain exercise book, on templates printed by the office or officially printed log books. It all depends what time, funds and access to printing you have available. 24

30 SECTION two Resources: D. CRM Support and Resources Help Desk Resource Kit Complaints Register for CHDs Suggestion Box Form How to use these resources The Help Desk Resource Kit can be reviewed as part of the CHD Contextualisation Workshop. Otherwise, amend with selected stakeholders once the CHD Guidelines have been completed. The Suggestion Box Form can also be amended with selected stakeholders based on the context and the needs of the organisation. The Complaints Register for CHDs There are two options presented for a CHD Complaints Register, as well as a receipt template. Review each of the templates and select which is most appropriate for your context. Amend as appropriate. If none are appropriate, you can create your own, using the principles above. 1. Register Option A This format is only appropriate for simple complaints because of the limited space available. However, it is effective and requires minimal preparation and resources. Print one copy of the log book for each point where you receive complaints, and instruct people receiving complaints to copy the format in to an exercise book. It is designed to be copied in landscape across two pages of an A4 exercise book. 2. Register Option B This format can be used in two ways. The first is to print multiple copies of the forms and complete the copies twice for each complaint, one copy to be given to the complainant, the other to be kept with the organisation. The second and most useful is to print the Register with a carbon copy by professional printers. It is appropriate when you have time and resources for printing, and for many, limited sector complaints. It has the advantage that exact copies of the complaint can be immediately given to the complainant. There is a section in this Register for management be it the district or project manager depending what is appropriate in your context to review the Register and make comments. This is important to evidence that management is aware of the complaints, approves of the responses and also gives managers and opportunity to comment. 3. Receipt Use this simple receipt when you are not able to give a carbon copy of the complaint. Resources to train the staff and community Training of staff and community members who participate in the operation of the CRM is nonnegotiable. They must have detailed knowledge of how the CRM works for it to be effective. The fastest way to do this is conduct a Training of Trainers for key staff, who then train staff and community members who operate the CRM in their districts. Included in this Resource Guide is a 3.5 Day Training of Trainers Session Plan and Handouts. The Help Desk Training of Trainers Session Plans outlines a 1-day workshop for participants, as well as a 3.5 day training intended for staff to learn how to conduct the 1-day workshop themselves. It is only relevant for those who have selected Community Help Desks as their CRM. 25

31 SECTION two If you are not using CHDs or suggestion boxes, you can use the process as an example to help you develop session plans to train staff and communities on different types of CRMs. Resources: D. CRM Support & Resources Help Desk Training of Trainers Workshops [Agenda, Session Plans and Handouts] Help Desk 1 Day Training for Staff and Communities [Agenda, Session Plans and Handouts] How to use these resources This workshop can be conducted once the Community Help Desk Guidelines have been finalised for your particular context. You may be able to adjust the training to include Suggestion Boxes if you are using both CRMs. The resources provided are in three parts: (a) Agenda and session plan for the 3.5 day CHD Training of Trainers (ToT). The format of this training is as follows: - Introduction - Modeling of the 1 day CHD training. The facilitators conduct the 1 day CHD training for the ToT participants. You will need to use the resources from the 1 day CHD Training for staff and community members here. - CHD knowledge for staff; facilitation skills; preparation for practicum - Practicum: participants will be required to conduct a real 1 day CHD training. - Debrief and future steps. (b) Agenda and session plan for the 1 day CHD Training for staff and community members. (c) Handouts for both workshops. Facilitation team The ToT session plans are written for experienced trainers of trainers, to use and amend as appropriate. You will need at least the number of facilitators as there are practicums (see below) so that each group facilitating a practicum has their own trainer with them. The 1 day training can be facilitated by people with little training experience after they have completed the ToT, assuming they have demonstrated the capacity to conduct such trainings. Participants The CHD ToT is designed expressly for staff who will be responsible for training staff and community members in the future. They should all have the capacity to conduct such trainings. Previous experience training is desirable, but not essential participants are ideal, up to 20 is manageable. The 1 Day CHD Training and Practicum participants should be community members and staff who will be working with and/or operating help desks in the near future. Up to 25 people can participate in this workshop. Depending on your context, many of your participants particularly for the 1 day CHD Training may not understand English, or be able to read. In this case, the workshop will need to be amended accordingly. You may want to translate the videos and read out the translation while the video is playing, partner up literate and non-literate participants, ensure everything written is also read out and minimise 26

32 SECTION two handouts. You may also like to consider extending the length of the workshop, depending on literacy and also how much community members like to engage during trainings and workshops in your context. Invitation Invite participants at least one week in advance, detailing the objectives of the workshop. Preparation Administratively, the CHD ToT requires an additional level of preparation to most workshops. On day 3 of the ToT, all the ToT participants will be conducting a practicum a real 1 day CHD Training of community members. The number of simultaneous practicums you will have will depend on the number of trainers you are training. For example, if you are training 18 participants in the ToT, you would need 3 practicums, with 6 trainers in each group. This means you will need 3 x venues, 3 x sets of resources and 3 x 20 participants on the third day of training. Try to ensure: trainers per practicum participants in each practicum who all need to be invited with appropriate protocol - Appropriate venues and services (food, IT) for each practicum - Appropriate resources for each practicum (in the handouts are a list of resources each group should be provided). Reference Refer to the Sphere Trainers Guide for assistance with training preparation: Sections B, C, D. Information Provision Resources Providing information is a key aspect of any accountable aid program. Often, we do not provide enough information or the right kind of information to our stakeholders. Information provision is strongly related to feedback and complaints. Stakeholders need to know they have a right to complain, and how to go about making a complaint for a CRM to be effective. Providing information about how to complain will increase the number of complaints received that will help improve your programming. Complaints and rumors related to confusion about the project and the agency will be reduced by providing program information in an appropriate and timely manner. It also encourages complaints regarding rights that stakeholders may not even be aware they can complain about. No CRM can operate effectively without solid information provision. If possible, make information available at the complaint and response mechanism. This may be in the form of written information, or spending time with a complaints committee explaining aspects of the program that they might pass on the information to others. The resources in this resource guide are designed to help you provide information to the community faster. They assist with the development of either a comprehensive information provision strategy if time allows, or contextualisation of guidelines and a range of poster templates that can be applied to your program very quickly. Decide which option is most appropriate for your circumstance, and 27

33 SECTION two choose the applicable resources (resources marked * are considered the minimum). Resources: E. Information Provision Information Provision Guidelines* Stakeholder Mapping Information Provision for Vulnerable Groups Information Provision Strategy Poster Templates* and Prepared Posters Pre-distribution meeting script example Notice Board Design How to use these resources FIRSTLY Adopt Information Provision Guidelines Adopt Information Provision Guidelines so that staff understand what standard of information is expected to be provided by World Vision. It is recommended that you contextualise the Information Provision Guidelines provided here for your program. The best way to do this is in a workshop based on the results of a Humanitarian Accountability Assessment, however if time is limited, it could be done with selective internal consultation. SECONDLY Create an Information Provision Strategy Use the resources Stakeholder Mapping, Information Provision Strategy Template and Information Provision for Vulnerable Groups to inform an Information Provision Strategy and action plan. This is best done in a workshop, to raise the awareness and skills of staff at the same time developing a strategy that they are all on board with. This step is valuable but time consuming, and may not be appropriate in rapid onset relief situations. Stakeholder Mapping Stakeholder mapping identifies the people and institutions that are important to the community, and to a program. It allows us to deliberately plan for the best way to provide them with information. Information Provision Strategy Template This template can be completed in a workshop or individually by staff working on a project. The aim is for staff to make a detailed plan for their information provision strategy. Information Provision for Vulnerable Groups This tool is to get people thinking about what vulnerable groups exist in their community and how their information needs might be different from others. It is useful where particular vulnerable groups tend to be overlooked. It will need to be contextualised to the particular situation. THIRDLY Create Information Provision Materials Use the Information Provision Templates to provide written information to communities. Highly practical, these are ready-to-go templates, intended for program staff to be able to edit, add a photo, and print within hours. They are most effective when their use is planned based on information provision guidelines, and following processes listed above. However, in situations where time is restricted, they can be used immediately. Each is explained in the table below. There is a collection of posters and flyers. Posters are primarily intended for use at program and distribution sites, at World Vision offices and community centers. Notice boards, mobile or stationery, are useful for displaying posters at program or distribution sites. Flyers are primarily intended for 28

34 SECTION two SECTION two distribution to Government, other NGOs, CBOs, and community leaders. Prioritise which are most appropriate for your situation, amend and complete. In some of the templates there is a section on how to complain. If you do not have these same systems set up, you will need to completely change this text box. If you have no formal systems set up, think about what are the informal systems people can use, for example approaching staff at the office, calling the office, and provide this information instead. people to whom the report will be sent. INFORMATION PROVISION TEMPLATES Type Topic Use Poster template Summary information: key points only. Amend and complete as appropriate and display at program sites, WV offices and community centres. Notice boards are helpful for displaying posters, and can be mobile or stationery to suit your purpose. Flyer template More detailed information. Complete and distribute to stakeholders. About World Vision Feedback and complaints About the Program Contact World Vision Beneficiary Rights When We Can t Assist (referrals) About World Vision in <COUNTRY> About World Vision in <DISTRICT> Inform stakeholders about World Vision so they are aware of who we are, where the funding comes from and what we do. Change according to the most critical information requirements or to address information gaps. Inform stakeholders how they can give feedback and make a complaint to the organisation. It is important that this is changed according to the systems available in your organisation. Inform stakeholders about the program. Inform stakeholders how to contact World Vision. This poster includes spaces for all district contacts, and will be most relevant in locations e.g. head office where stakeholders may be interested in contacting different districts. Inform stakeholders, focusing on beneficiaries, about their rights as a beneficiary of the aid program. Inform stakeholders about alternative agencies that may be able to assist them with needs that World Vision is not qualified or able to meet. Change this to meet the critical needs in your context. More detailed information about World Vision in your country. Give to national level stakeholders, partners and interested parties. More detailed information about World Vision at the district level. Give to district level stakeholders, partners and interested parties. Give to beneficiaries if knowledge of World Vision is limited, assuming sufficient budget and literacy levels. About Program More detailed information about a particular program. Give to stakeholders, partners and interested parties. Make available to beneficiaries if the program is new and complex, assuming sufficient budget and literacy levels. 29

35 SECTION two INFORMATION PROVISION TEMPLATES Prepared poster Display at program sites, WV offices and community centres. DO NOT change the wording on these posters. Red Cross Code of Conduct IASC Principles of a Code of Conduct WV Integrity and Risk Reporting Hotline Informs stakeholders of the international standard of conduct they can expect from World Vision employees. Informs stakeholders of the international standard of conduct for sexual relations. Most importantly it outlines the sexual behaviour that is considered unacceptable. Informs stakeholders of an international, confidential CRM to complain about misconduct or illegal activities by World Vision staff, volunteers, contractors or partners. Script Template Amend as appropriate. Pre-distribution meeting script Script example to ensure that Field Officers and Monitors provide all the necessary information at pre-distribution meetings. Notice Board Design Notice board design Example of how you might construct a notice board to display posters and other information. 30

36 SECTION two SECTION two STEP 7: Receive and respond to complaints Task: receive complaints and feedback resolve complaints document the complaint and the response This step is essentially the implementation of the CRM as documented in your CRM Policy and CRM Guidelines and supported by all that you have developed in Step 5. Any resources you will need to guide how you receive, resolve, respond to and document the complaint and response has been covered in the previous steps. This flow chart has been adapted from Oxfam s Complaints Mechanism Implementation Guidelines. 31

37 SECTION Annex two STEP 8: Learning Task: collate, analyse and report complaints incorporate learning in to programming For complaints to have an impact at the programming level, they need to be collated, analysed, and reported on to decision makers. Only with this information will decision makers be able to incorporate the learning from the complaints in to programming. If the resources are available, for large programs a complaints database may be useful. World Vision is working on a standardised complaints database. In the mean time, means to collect the data, analyse it and present in a monthly report are required. Follow the Steps for Collating, Analysing and Reporting Data for guidance. Resources: F. Data Collection and Reporting Steps for Collating, Analysing and Reporting Data Monthly Report Template District Level Monthly Report Template National Level Resource available in soft copy: o Excel Data Collection Template o SPSS Data Collection Template How to use these resources Read the Steps for Collating, Analysing and Reporting Data to learn how to create your own data collection template. Use this template to collate and analyse the data to inform your monthly report. The Data Collection Templates are examples referred to in the Steps for Collating, Analysing and Reporting Data. You may be able to use these in your program, or amend them to better suit your needs. Alter the Monthly Report Templates to suit your purposes and meet the needs of the program and people to whom the report will be sent. This process is particularly important because it determines what information is provided to senior management, who are able to incorporate learning into programming decisions. 32

38 ANNEX Resources 33

39 Resources This Section has all the resources to help you implement Community Help Desks and Suggestion Boxes. You won t need to use all of these resources. Read Section 2: How to Implement a CRM to understand how to use the resources, and to decide which you will need. A. Complaint and Response Mechanism Systems and Policies HAP Self Assessment Questionnaire Map of Complaints-handling in World Vision FPMG CRM Policy National Level CRM Policy Template B. HA Assessment FGD Assessment Adult Guide FGD Assessment Child Guide Resources available in soft copy: FGD Assessment Adult Script (soft copy only) FGD Assessment Analysis (soft copy only) FGD Assessment Consolidation (soft copy only) C. CRM Development CRM Options Community Help Desk Guidelines Suggestion Box Guidelines Community Help Desk Contextualisation Workshop Session Plans, Handouts and PowerPoint Presentations Suggestion Box Contextualisation Session Plan and Handouts D. CRM Support and Resources Community Help Desk Resource Kit Community Help Desk Register Option A Community Help Desk Register Option B Community Help Desk Receipt Template Suggestion Box Form Community Help Desk Training o Training of Trainers Agenda o Training of Trainers Session Plans o Training of Trainers Handouts and Presentation o 1 Day Training for Staff and Communities Agenda o 1 Day Training for Staff and Communities Session Plans o 1 Day Training Handouts

40 E. Information Provision Information Provision Guidelines Stakeholder Mapping Information Provision for Vulnerable Groups Information Provision Strategy Template Poster Templates: About World Vision, Feedback and Complaints, About the Program, Beneficiary Rights, When We Can t Assist Flyer Templates: About World Vision (Country level), About World Vision (District level), About Program Set Posters: Red Cross Code of Conduct, IASC a Code of Conduct, World Vision Integrity and Risk Reporting Hotline Pre-distribution Meeting Script Example Notice Board Design F. Data Collection and Reporting Steps for Collating, Analysing and Reporting Data Monthly Report Template District Level Monthly Report Template National Level Resources available in soft copy: Excel Data Collection Template Example SPSS Data Collection Template Example Protection Resources Food Programming and Protection Child Protection Incident Definitions and Response Protocols Sample Protection Question

41 A A Complaint and Response Mechanism Systems and Policies HAP Self Assessment Questionnaire Map of Complaints-handling in World Vision FPMG CRM Policy National Level CRM Policy Template WVI Humanitarian Accountability Framework

42 HAP Self-Assessment Questionnaire HAP Self-Assessment Questionnaire A Included here are the Self-Assessment questions for Information Provision (Benchmark 2) and Complaints-handling (Benchmark 5). You can access the full Self-Assessment Questionnaire from the HAP International website: Benchmark 2 The agency shall make the following information publicly available to intended beneficiaries, disasteraffected communities, agency staff and other specified stakeholders: (a) organisational background, (b) humanitarian accountability framework, (c) humanitarian plan, (d) progress reports, and (e) complaints handling procedures 1 Does our organisation have a well-disseminated information policy? Strongly yes Somewhat yes No Don t know 2 Does our organisation inform communities about their rights and entitlements? 3 Do we inform beneficiaries about the standards we have set ourselves? 4 Do we share our objectives, plans and the implementation process with beneficiary communities and other stakeholders? 5 Is the beneficiary selection process communicated and well understood by all members of the community? 6 Do we ensure that our information is available in the languages of our beneficiaries? Are we sure our beneficiaries can access our information? Have we considered age, gender and diversity within our beneficiary groups when disseminating information? Do we monitor how well we re going with disseminating information to our stakeholders? 10 Do we invite feedback and make sure people know how to give it? 37

43 HAP Self-Assessment Questionnaire A HAP Self-Assessment Questionnaire Benchmark 5 The agency shall establish and implement complaints-handling procedures that are effective, accessible and safe for intended beneficiaries, disaster-affected communities, agency staff, humanitarian partners and other specified bodies Strongly yes Somewhat yes No Don t kvow Do we facilitate and welcome the raising of ideas, questions, concerns and complaints by beneficiaries and their leaders throughout the project cycle? Do we have a clear, formal and transparent system in place to handle beneficiaries complaints and concerns? Do we have a clear, formal and transparent system in place to handle staff complaints and concerns? Do we have a clear, formal and transparent system in place to handle complaints and concerns of humanitarian partners and other stakeholders? Does our organisation clearly communicate how people can access its complaints mechanisms, how to find out more and how to receive assistance if needed? Are staff clear on their roles in handling and responding to complaints and provided with appropriate training? 7 Are all complaints recorded and responses monitored? Does our complaints-handling mechanism specify how and within which time frame it will be processed, how the complainant can get feedback? Do we respond in a timely manner to complaints and concerns raised? Does our complaints-handling mechanism specify how the safety of the complainant and confidentiality of the complaint are secured? Are there clear procedures in place to address allegations of abuse and do we have the expertise to investigate allegations of abuse, including sexual abuse and corruption? Are beneficiaries provided with information on where to go if they are subject to sexual abuse? Do we have a process for reviewing and responding to ideas, suggestions and comments from all staff members? Were our complaints-handling mechanisms established in a participatory way? 38

44 Map of Complaints-handling A Corporate Issue Resolution Opperations Issue Diagnosis Resolutions Complaints Mechanism in Operations Opperations Issue Complaints Mechanism in National Office Child Issue Child Issue Levels 2&3 People Issue Levels 1&2 Child Protection Focal Point Human Resources Function Child Issue Human Resources in National office People Issue People Issue Regional Office Investigative Capicity Whistleblower Function in Global centre Complaint Articulation Community Complaints and Response Mechanism CRM) National HR Grievance Policy Global Whistleblower Polley Map of Complaints-Handling in a World Vision National Office 39

45 FPMG CRM Policy A FPMG Complaint and Response Mechanism Policy Purpose FPMG requires all food programs to have some form of complaint and response mechanism in place by Effective CRMs will become a standard that contributes to Go No Go trigger decisions for all new food programs. This policy is designed to guide national level complaint and response mechanism policies. It outlines the principles by which FPMG expects feedback and complaints to be handled across all its programs. Policy Statement World Vision FPMG is committed to receiving feedback and responding to complaints about its work and conduct from all stakeholders in a timely and appropriate manner. Feedback and complaints will be dealt with professionally, in ways that promote fairness, transparency and accountability. World Vision recognises the importance of doing so to reaffirm the dignity and value of our stakeholders and their right to be heard and acknowledged, (a) (b) learn from our stakeholders and adjust our programs to better meet their needs, thereby improving program quality and impact, alert the organisation to serious issues for redress and to assure stakeholders that WVZ does not tolerate wrongdoing Principles The following principles have been developed to allow flexibility and ensure implementation with respect to the different local contexts in which World Vision operates food aid projects: 1. Clarity on purpose and procedure of complaint and response mechanisms. The following will be documented and communicated to relevant stakeholders: the purpose of the complaint and response mechanisms, what constitutes a complaint and how validity will be assessed (for different types of complaints), who can raise a complaint, methods for raising complaints of different nature, the handling and response procedures, and limitations. 2. Right to raise a complaint and receive a response. Complaint and response mechanisms will recognise and effectively communicate the right of communities (beneficiaries and nonbeneficiaries) to raise a complaint and receive a response. 3. Information sharing. All relevant stakeholders will be made aware of the World Vision commitments in relation to food aid projects, of their respective rights, roles and responsibilities, including in relation to the complaint and response mechanism and the principles included here. 4. Appropriate and easily accessible. Complaint and response mechanisms will be developed, implemented and communicated in a manner that is appropriate to context and accessible to potential users. The name, the method for raising complaints, and the handling and response procedures will be context-sensitive and built on redress mechanisms that already exist in the community. 5. Proximity. Complaints will be received, processed and resolved at a level appropriate to the nature of the complaint and as close as possible to the place where they were raised. 40

46 FPMG CRM Policy 6. Timeliness. Complaints will be resolved as soon as possible, within a specified and clearly communicated timeframe. A 7. Non-retaliation and non-discrimination. All complainants will be able to raise complaints without fear of retaliation or discrimination. 8. Confidentiality. Confidentiality of the complainant and of the subject or object of the complaint will be protected unless otherwise agreed by the respective parties. 9. Due process. All complaints will be subject to an independent review or investigation, depending on the nature of the complaint. 10. Referral and appeals. Our complaint and response mechanisms will include phased referral, depending on the nature of the complaint. Complainants will be provided with the opportunity to appeal and the terms for this process will be clearly stated and communicated. 11. Appropriate competencies. Individuals handling complaints will be subject to rigorous selection procedures, sensitisation and training so that the principles herewith are implemented accordingly. Specifically, independence of individuals receiving, handling and investigating complaints will be observed according to principle nine above. 12. Impact measurement and continuous improvement. Any complaint and response mechanism will be subject to periodic reviews with a view of improving the mechanism and its stated procedures and understanding the impact it is having on users and the project. Indicators and methods to measure the performance and effectiveness of receiving and responding to complaints (community evaluation, Post Distribution Monitoring (PDM), user surveys and changes in organisational policies and practice) will be stated at the time when the complaint and response mechanism is set up. 13. Reporting. As per a stated procedure, there will be regular reporting on the number of complaints, response time, type of complaints, and details on serious incidents. 14. Compatibility. Policies and procedures for complaint and response mechanisms will be compatible with Human Resources, Grievance, Child Protection, Whistleblower and Risk Reduction policies as well as other requirements from donor and host governments. Where external factors do not allow implementation of complaint and response mechanisms as per these principles, a justification will be provided by the project in question. 41

47 National Office CRM Policy A Complaint and Response Mechnism Policy A commitment to listening and responding to our stakeholders 1. Purpose The purpose of World Vision <COUNTRY> s Complaint and Response Mechanism Policy is to ensure that feedback and complaints from stakeholders are heard and resolved in an effective and professional manner. This is the generic policy that informs the various complaint and response guidelines that detail how to operationalise the particular mechanisms e.g. Help Desk Guidelines. 2. Policy Statement World Vision <COUNTRY> is committed to receiving feedback and responding to complaints about its work and conduct from all stakeholders in a timely and appropriate manner. Feedback and complaints will be dealt with professionally, in ways that promote fairness, transparency and accountability. World Vision recognises the importance of doing so to (a) reaffirm the dignity and value of our stakeholders and their right to be heard and acknowledged, (b) learn from our stakeholders and adjust our programs to better meet their needs, thereby improving program quality and impact, (c) alert the organisation to serious issues for redress and to assure stakeholders that World Vision does not tolerate wrongdoing Definitions Feedback can be both positive and negative and is generally to do with minor issues; it can be given formally or informally. Complaints are often to do with more serious issues, when things have gone wrong and when whoever makes the complaint wants a change to occur. It is an expression of dissatisfaction about World Vision s program, commitments or conduct and requires a response. Sensitive complaints are those which require the protection of the complainant, because they either feel embarrassment or shame, or fear of reprisal from another person. 3. Who Can Give Feedback and Complain? All World Vision s stakeholders can give feedback and make complaints, including beneficiaries, nonbeneficiaries, partners, local leaders, NGOs, CBOs, Government, Donors and staff. 4. What Can People Give Feedback and Complain About? Feedback and complaints related to World Vision s programs, commitments and conduct. World Vision will address complaints including but not limited to the following circumstances: World Vision <COUNTRY> has made a commitment and it has not been met Unfair, inappropriate or incorrect management of and World Vision services including Exclusion of beneficiaries who meet the selection criteria, and inclusion of those who don t Political and non-political interference Theft of food aid and non-food aid commodities by any party Improper behavior or misuse of authority by a World Vision staff member, partner or supplier including rude or aggressive behaviour, fraud, bribery, allegations of sexual harassment or exploitation. Threats against World Vision staff or program property. 42

48 National Office CRM Policy World Vision encourages stakeholders who have evidence of criminal activity by World Vision staff members or partners to report the incident to the police, in addition to the organisation. A 5. Safe Referral Feedback and complaints not related to World Vision s programs, commitments and conduct will not usually be responded to. However, for complaints related to the safety and protection of beneficiaries and beneficiary communities, World Vision <COUNTRY> will ensure that the complainant is given information about an agency that is qualified to assist. Each District Office will compile a list of other agencies working in the area, both Government and Non-Government, and provide this information to the relevant complainants. You may be able to do more here depending on the protection skills and policy of the National Office. 6. How Can People Give Feedback And Complain? Stakeholders have the right to provide feedback or complain in writing, verbally or by phone directly to World Vision offices, to a World Vision staff member of their choice or through local leadership, government offices, or other stakeholders e.g. partners or NGOs. Complaints and feedback can be provided through both formal and informal means. Communities and beneficiaries are encouraged to give feedback or complain first to their help desk or other locally managed committee. However, if beneficiaries feel the complaint is too sensitive or not being addressed they have to right to go through any of the following internal channels: 1. Help Desk or Local Committee 2. Field Monitors or Officers 3. District Team Leader or Coordinator 4. Relief Leadership Team 5. National Director. External channels e.g. police and community leaders can also be complained to, however this does not guarantee that World Vision will receive and therefore be able to address the complaint. 7. Staff Obligation to Inform Stakeholders of their Right to Complain Communities and beneficiaries will be communicated their right to provide feedback and make a complaint and the procedures for doing so during community meetings by field staff. Other stakeholders including Government Officials, local leaders, relevant committees, other NGOs and CBOs working in the area will be informed by visits by field staff, and asked to cascade the knowledge to others. Written information about the WORLD VISION Feedback and Complaints mechanism in operation in the area will be available at the above meetings. <POSITION> are responsible for ensuring this happens. 8. Receiving Feedback and Complaints Verbal in person or on the telephone All feedback and complaints are to be received in an open and respectful manner. Staff must listen, accept the feedback/complaint, and be courteous and respectful. If the feedback is relevant, staff needs to demonstrate commitment to pass on feedback or resolving the complaint. If the feedback or complaint is not related to World Vision s programs, commitments or conduct, the stakeholder can be politely turned away or referred to the relevant organisation or committee. Where possible, complaints will be resolved at the time. In the case of feedback, the stakeholder will be 43

49 National Office CRM Policy A asked if they require a response. If not, a commitment will be made to pass on feedback. For all complaints, and feedback requiring a response, a commitment will be made to do so as soon as possible, to a maximum of <TIMEFRAME>. Stakeholders should be encouraged to propose possible solutions for consideration when they submit their complaints. No promises will be made to create false expectations. Written Written complaints can be Sent to <POSITION, USUALLY MANAGER> at district level Sent to <POSITION> at national level Given to a World Vision staff member Deposited in a World Vision suggestion box where available <REMOVE IF IRRELEVANT> Written feedback and complaints received at a district level will be passed on to the Stakeholder <POSITION DISTRICT MANAGER>. In this case, the <POSITION DISTRICT MANAGER> is responsible for ensuring a response is provided within <TIMEFRAME> of receipt. If the complaint involves district staff or is sensitive or complex, it can be passed on to the <POSITION>, who will be responsible for responding within <TIMEFRAME> of receipt. Complainants have the right to remain anonymous, however complaints need to contain enough details for investigations to be conducted. Investigations of anonymous complaints may be limited by inadequate information. 9. Addressing Complaints This section is designed to provide an overview of how decide on the remedy for the various complaints that are received. It is good to be able to summarise all existing procedures for handling complaints in this one document. To do so, you will need to review all the policies at the national level that detail procedures for dealing with wrongdoing eg HR Code of Conduct, Food Programming Manual and any other policies relating to theft, fraud and misconduct. You will also need to allocate a person or committee to be responsible for receiving and dealing with sensitive complaints and appeals. For more information on how to establish a system to address complaints, refer to Chapter 4D of the Danish Refugee Council s Complaints Mechanism Handbook You will need to decide who is responsible for handling different types of complaints, and who will deal with appeals. One way to think through this process is to use the table below, taken from the Danish Refugee Council s Complaints Mechanism Handbook An example is provided, but you will need to determine what works best in your context. Example: 44

50 National Office CRM Policy Amend according to your procedure. A Type of complaint Non-sensitive Sensitive Beneficiaries District Manager Complaints Committee Appeals Body Complaints Committee Complainant Non-beneficiaries District Manager Complaints Committee Agency Staff Direct Manager HR or Complaints Committee Complaints Committee Complaints Committee /HQ Partners, authorities District or Program Manager Complaints Committee Complaints Committee /HQ At the district level, the District Manager has full responsibility for resolving complaints following organisational policy summarised below. The Complaints Committee is composed of the Country Director and Programs Manager (at least one National and one Expat staff is recommended). They are largely responsible for dealing with appeals and sensitive complaints abiding by organisational policy. Organisational Policy and Standards for Addressing Complaints Amend according to your policies and standards. Programming issues <that cannot be resolved at District Level> should be reported to the <POSITION PROGRAM MANAGER> for resolution. Allegations of programming commitments that have not been met must be reported to the <POSITION DISTRICT COORDINATOR AND/OR PROGRAM MANAGER>. Allegations of unfair, inappropriate or incorrect selection processes, including inclusion or exclusion errors must be reported as per the program directive, usually to the <POSITION FIELD OFFICER> for verification and the report forwarded to the <POSITION DISTRICT MANAGER> for possible resolution. Allegations of improper behaviour or misuse of authority by a World Vision staff member including rude behaviour must be reported to the <POSITION DISTRICT MANAGER>. Serious allegations must also be reported to the <POSITION HUMAN RESOURCES MANAGER>. Allegations of bribery, fraud, corruption, sexual harassment or exploitation, threats against World Vision staff or program property, aggressive behaviour of World Vision staff and theft (except theft of food and non-food aid commodities) must all be immediately reported to the District Coordinator/ Program Manager and forwarded to the Human Resource Department (Human Resources Manager) for handling per the <WORLD VISION COUNTRY CODE OF CONDUCT>. Referrals to the police will be done at the discretion of the Complainant and the Human Resource Department. All staff are responsible to report ANY suspicions of child abuse (or other child protection concerns) involving a staff, volunteer, contractor, consultant, donor, sponsor, visitor, partner or board member to any of the National Office Child Protection Focal Person, Regional Child Protection Coordinator, WVI Child Protection Associate Director or WV Integrity and Risk Hotline. Allegations of theft relating to food and non-food items must be reported to the <POSITION 45

51 National Office CRM Policy A PROGRAM MANAGER AND/OR DISTRICT MANAGER>. A loss report accompanied by a Police report must be submitted as soon as possible and (in the case of food items) dealt with in accordance with the Commodities Manual specifications. Where theft involves a World Vision staff member The <POSITION DISTRICT MANAGER> s report will be forwarded to the <POSITION HUMAN RESOURCE MANAGER> for handling per the World Vision <COUNTRY> Code of Conduct. Referrals to the police will be done at the discretion of the Human Resource Department. Allegations of political interference must be reported to the <POSITION DISTRICT MANAGER AND/OR PROGRAM MANAGER> who will alert their superior (Food Resources Team Leader and/ Relief Director). An incident report needs to be submitted within 24 hours by the <POSITION DISTRICT MANAGER>. Where this interference is instigated by a member of World Vision staff, the <POSITION DISTRICT MANAGER> must copy the <POSITION HUMAN RESOURCES MANAGER> on the report. Allegations of any of the above conducted by World Vision <COUNTRY> partner or supplier must be reported to <POSITION PROGRAM MANAGER AND/OR DISTRICT MANAGER> and follow the procedure outlined. Allegations of threats against World Vision staff or property must be reported to the <POSITION PROGRAM MANAGER AND/OR DISTRICT MANAGER> who will forward a report to their superiors. Notes from World Vision <COUNTRY> Code of Conduct: <FOLLOWING IS EXAMPLE FROM WORLD VISION ZIMBABWE REMOVE OR REPLACE WITH RELEVANT INFORMATION FROM YOUR COUNTRY S CODE OF CONDUCT> Human Resources may require a formal written complaint from the Complainant, as per the WVZ Code of Conduct (pg 7). Complaints by staff about their work situation shall in the first instance be put in writing to his/her immediate supervisor (pg 13). Any aggrieved employee is free to appeal against any verdict and/or penalty imposed on him/her, but it must be done to the National Director within 3 working days after the determination (pg 13). 10. Responding to Complaints Response to complainants should be given as soon as possible, to a maximum of <TIMEFRAME> of receiving the complaint regardless of whether or not a decision has been reached. The <POSITION> is responsible for providing the response as soon as possible within the timeframe. The complainant should be informed that their complaint has or hasn t been upheld: If the complaint is upheld, advise the complainant what action has been taken. Note that in some limited cases e.g. sexual misconduct allegations, it can be important for the sake of confidentiality that the complainant is not told what action has been taken. In addition it is important to inform staff that a complaint has been received, investigated and action taken. This step can be vital in maintaining/restoring staff morale and upholding our wish to be an accountable organisation. Again it is important that the principle of confidentiality is upheld: sometimes it will not be possible to tell staff precisely who is involved and what action has been taken. If a complaint is not upheld, the complainant must be informed of this, the reason why and 46

52 National Office CRM Policy their right to formal appeal by taking the complaint to the next level of management. A If a decision has not been reached by the committed timeframe, the complainant will be provided with a progress report and an indication of a likely date of conclusion. 11. Documentation and Reporting Documentation and reporting of complaints allows both for transparency to maintain the integrity of the system, and the analysis of trends. This information can be used to influence changes to resolve the issues and reduce future complaints. All complaints that are not immediately resolved will be recorded in <LOCATION EG LOGBOOK FOR THAT OFFICE>. Once a complaint has been written down it is considered a formal complaint. This does not preclude complaints that are immediately resolved from being recorded. It is strongly encouraged that they are (as is the case with Help Desks), to inform and improve programs. The resolution and any action taken including any appeals process must be documented in detail as the original complaint was documented (e.g. in the Complaint Register for non-sensitive complaints). This must be done even if the complaint is not upheld. If it is confidential, the <POSITION> will be responsible for documenting and closing the complaints file. All documented feedback and complaints will be analysed and reported on monthly at a district and national level. District Reports will be completed by the <POSITION> and sent to <POSITION> by <DATE> of each month. National Reports will be completed by <POSITION> and presented to <POSITION/TEAM e.g. RELIEF LEADERSHIP TEAM>. All reports will include the number of complaints, response time, type of complaints, and details on serious incidents. 12. Closing Complaints The complaints process is considered closed when: A complaint is upheld, it is communicated to the complainant, and the file signed as closed by WV staff. A complaint is not upheld, it is communicated to the complainant along with the right to appeal. If the right to appeal is declined, the file may be signed as closed by WV staff. If the right to appeal is accepted, the file will not be closed until the appeals process is finished and the records added to the file before being signed as closed by WV staff 13. Confidentiality and Protection All complaints must be dealt with in confidence. The principle of confidentiality needs to be made clear to all World Vision staff, and community members handling complaints and complainants. The protection of the complainant from intimidation or abuse of any form as far as is within the control of the people to whom the complaint is made should be ensured. Feedback and complaints records should be treated as a security item to safeguard sensitive information, 47

53 National Office CRM Policy A upholding the principle of confidentiality. To maintain data security, World Vision <COUNTRY> will ensure: Amend according to which processes will be undertaken by the organisation. All hard copy files will be locked in a cabinet with a single staff person who has a key, ideally the manager of that office. That person must authorise all access of records, and note the location of any borrowed records. Access should be limited to a small number of appropriate staff. All soft copy files will be stored on a password protected desktop in an office, rather than a laptop which is carried around. Soft copy documents need to be backed up monthly onto a CD and stored in a locked cabinet. No records or complaint archives will be taken outside the office without express permission of the Manager, and should never be loaned to parties outside World Vision. No alterations or additions will be made to the original record of the complaint. If there is a need to record future developments or a change in circumstances or otherwise reflect inaccurate information or deficiencies, a further document can be generated and attached to the file. 14. Monitoring <POSITION> is responsible for ensuring that all complaints received are handled according to this CRM Policy. An excellent tool to help with this process can be found in the Danish Refugee Council s Complaints Mechanism Handbook 2008, Chapter 4E. Other organisational processes, including Post Distribution Monitoring, can be very useful for this purpose. References CARE International in Zimbabwe Compliance Department: Ethics and CARE Zimbabwe Complaints System Oxfam GB Implementing Oxfam Public Complaints Policy in the International Division Guidelines World Vision Lanka Tsunami Response Team (LTRT) Complaints Handling Policy and Procedures Manual, May World Vision Zimbabwe Recommendation on a WVZ beneficiary complaints and response system by Pauline Wilson, Consultant, October Assistance from Monica Blagescu, HAP-I 48

54 WVI Humanitarian Accountability Framework A World Vision International Humanitarian Accountability Framework World Vision recognizes that the essence of humanitarian accountability is to respect the needs, concerns, capacities and disposition of those we seek to assist, and to be answerable for our actions and decisions to interested parties, especially affected communities. We respect international humanitarian law, international refugee law, human rights and other international treaties and national laws. We reaffirm the primary duty of states to protect and assist people in times of armed conflict and calamity. We acknowledge the duty of care regarding the well-being of intended beneficiaries incumbent upon all those engaging in humanitarian action. We assert the right of all in need to receive humanitarian assistance and protection on the basis of their informed consent. As a member of Humanitarian Accountability Partnership, we are committed to compliance with the HAP Standard We note that operational constraints beyond our control can adversely affect our performance. About World Vision World Vision International is a Christian humanitarian organization working for the well being of poor and vulnerable people especially children through:all hard copy files will be locked in a cabinet with a single staff person who has a key, ideally the manager of that office. That person must authorise all access of records, and note the location of any borrowed records. Access should be limited to a small number of appropriate staff. Sustainable development Disaster management Raising public awareness and advocating for justice Core Values The World Vision Partnership shares a common understanding bound together by six core values. These core values are the fundamental and guiding principles that determine World Vision's actions. The core values are our aim, a challenge that we seek to live and work toward. We are Christian1 We are committed to the poor We value people We are stewards We are partners We are responsive 1 1 World Vision s Christian nature provides the motivation to practically assist everyone based purely on need alone. All HEA and FPMG programmes are implemented in line with the Red Cross/ Red Crescent and NGO Code of Conduct. 49

55 WVI Humanitarian Accountability Framework A Our Commitments World Vision is committed to abiding by international humanitarian standards that affirm our commitment of accountability to affected communities. Our programs will incorporate and reflect the following standards and protocols: For all Programmes World Vision s Partnership Principles HAP Principles World Vision Child Protection Policy UN Declaration of Human Rights World Vision s DME/LEAP Framework UN Convention on the Rights of the Child Red Cross/Crescent and NGO Code of Conduc Do No Harm/Local Capacities for Peace The Humanitarian Charter and SPHERE Framework Standards Global Humanitarian Platform (GHP) Principles People in Aid of Partnership Good Humanitarian Donorship Initiative For HEA Programmes For FPMG Programmes World Vision Policy on Relief World Vision s position on the role of Food Aid Management Policy on Christian Commitments in FPMG Commodities Manual and standards (fo Emergency Response and Disaster Management FPMG programs) Our Commitments This is the framework for Humanitarian Accountability in World Vision. This document seeks to define the minimum accountability standards for World Vision s work in food aid and humanitarian projects and how we plan to engage with beneficiaries and communities. This framework is relevant in the fulfilment of HAP principle # 2 and benchmark # 1, both which require setting of accountability standards and establishment of a quality management system. This framework is not about passing judgement about how we are performing in Humanitarian Accountability. The main purpose of this framework is to help us identify and follow up capacity building needs in a way that provides continuous improvement in relation to humanitarian accountability in World Vision. The first page contains descriptions of the different levels that programmes can obtain in four areas of beneficiary accountability. (Providing Information, Consulting with Communities, Promoting Participation and Collecting and Acting on Feedback and Complaints). These four areas can be measured through a simple questionnaire/ check list approach and the second page contains details of resources to support field practice. Standards, Capacity and Measurement in FPMG The top part of the table contains our minimum standards in relation to Providing Information, Consultation, Participation and Feedback and Complaints. The bottom section of the table indicates how World Vision will manage implementation and capacity building of these standards in a way that enables learning and improvement. Level 1: This is the minimum starting level. All FPMG supported Programs Projects will be expected to meet and comply with this level within the first 6 months of introducing Humanitarian Accountability. Level 2: This is the next level. All FPMG supported Programs and/or Projects will be expected to meet and comply within the first 12 months of introducing Humanitarian Accountability, and as they document learning demonstrate evidence of improvement Level 3: This is the highest level so far. All FPMG supported Programs and/or Projects will be expected to meet and comply within the first 24 months of introducing Humanitarian Accountability as they continue to improve. 50

56 WVI Humanitarian Accountability Framework A Beneficiaries and Communities Providing Information MINUMUM STANDARDSh Consulting with Communities Promoting Participation Collecting and Acting on Feedback and Complaints Level 1 Level 2 (The activities to the left plus those for Level 1) Level 3 (The activities to the left plus those for Levels 1 and 2) World Vision commits to ensuring that relevant programme information is made available and intentionally provided to beneficiaries and communities in a timely, accessible and accurate manner. Beneficiaries and communities are informed about: We are committed to the principle of informed consent and ensuring that beneficiaries and communities are aware of, understand and agree with key decisions relating to our intervention. We are devoted to purposely empowering beneficiaries and building community capacity to ensure their meaningful participation in all components of the LEAP project cycle. We undertake to implement beneficiary & community feedback and complaints procedures that are accessible, safe and effective. These procedures will sensitize beneficiaries and communities on their rights to good service delivery and our adherence to the Red Cross/ Red Crescent and NGO Code of Conduct. WV mandate, core values and its role in the response planned activities including start and end dates targeted beneficiaries (including targeting criteria) heir right to complain Beneficiaries and communities are sensitized about their right to provide feedback and complain Feedback and complaints are welcomed, recorded (using a logbook or similar), analyzed, action taken and feedback provided Beneficiaries and communities are informed about: - project timeframe, goals and objectives - Red Cross/ Crescent and NGO Code of Conduct - summary financial information (subject to security considerations) - complaints handling methods in time to influence major decisions (e.g. selection of beneficiaries, activities etc) Methods used to share information are adjusted based on community feedback Information guidelines in place Beneficiaries and communities are informed about all plans and activities throughout the entire project cycle CAPACITY LEVELS Beneficiaries and communities are sensitized about their right to be consulted about key project decisions Beneficiaries and communities are consulted on project activities through community meetings and programme assessments Beneficiaries and communities participate in the development of beneficiary selection criteria and the beneficiary selection process Beneficiaries and communities contribute project inputs, such as community labour, skills, materials etc Beneficiaries and communities are provided with relevant progress reports/ updates Beneficiaries and communities are regularly consulted through focus group discussions, surveys, and other methods and feedback documented Community organizations or structures such as programme committees serve as a vehicle for community consultation, decisionmaking and information sharing to beneficiaries and communities. Community organizations or structures selected and strengthened to facilitate improved community participation and consultation such as programme committees Capacity building of community organizations and structures takes place so they can better participate in the programme Other avenues for participation are identified with beneficiaries and communities and put in place Beneficiaries and communities are given the opportunity to chose preferred method for complaints handling, including for filing confidential complaints Method(s) for complaints handling documented in local language and put in place based on community preference (including updates of revisions) Feedback and complaints handling guidelines in place Staff and communities trained on complaints handling guidelines Documented consultation outcomes regularly shared with beneficiaries and communities and influence programme design and implementation Project meetings are jointly convened by committees and WV Chairing of meetings takes place on a rotational basis Beneficiaries and communities play significant roles in the entire project cycle including during assessments, design, implementation, monitoring, evaluation and learning. Complaints management becomes part of overall NO plans, systems and standard approaches Complaints are formally captured (database or other format), analysed and utilized to influence programme decisions 51

57 WVI Humanitarian Accountability Framework A Beneficiaries and Communities MINUMUM STANDARDS Providing Information Consulting with Communities Promoting Participation Collecting and Acting on Feedback and Complaints Tools World Vision commits to ensuring that relevant programme information is made available and intentionally provided to beneficiaries and communities in a timely, accessible and accurate manner. We are committed to the principle of informed consent and ensuring that beneficiaries and communities are aware of, understand and agree with key decisions relating to our intervention. We are devoted to purposely empowering beneficiaries and building community capacity to ensure their meaningful participation in all components of the LEAP project cycle. We undertake to implement beneficiary & community feedback and complaints procedures that are accessible, safe and effective. These procedures will sensitize beneficiaries and communities on their rights to good service delivery and our adherence to the Red Cross/ Red Crescent and NGO Code of Conduct. SUPPORTING MATERIALS FPMG Complaints Tool Kit information provision section Good Enough Guide tools Guide to the HAP Standard Tools section H-Account Accountability Field Guide(available mid 2009) Good Enough Guide Guide to the HAP Standard: Tools section H-AccountH mid 2009) Good Enough Guide Guide to the HAP Standard Tools section H-Account Accountability Field Guide (available mid 2009) WVI HAF Scorecard (based on the above levels) HAP Self Assessment (to provide a picture of the wider organization) HAP Baseline (to go deeper on an organizational level) For FPMG: FPMG Operations Audit FPMG Complaints Tool Kit Good Enough Guide tool Guide to the HAP Standard Tools section H-Account Accountability Field Guide (available mid

58 Humanitarian Accountability Assesment b Humanitarian Accountability Assesment FGD Assessment Adult Guide FGD Assessment Child Guide Resources available in soft copy: FGD Assessment Adult Script (soft copy only) FGD Assessment Analysis (soft copy only) FGD Assessment Consolidation (soft copy only) 53

59 FGD Assessement Adult Guide B WORLD VISION <INSERT COUNTRY NAME> Accountability Design: Community Focus Group Discussions Guide for Men and Women RESOURCES REQUIRED 1. STAFF - 1 Facilitator, 1 Note Taker, 1 Observer (ideally) MATERIALS - a. 1 Flip chart pad b. A few different colored markers c. 1 Flip chart paper with chart in ranking exercise already drawn on it in large print (use pictures to represent each method if low literacy and read out each method when presenting chart); d. 3 different sized rocks in large, medium and small (or other similar object) for ranking exercise e. Different colored paper in different sized circles for Stakeholder Analysis SNACKS/DRINKS - For all participants at end of exercise FOCUS GROUP PARAMETERS 1. SIZE - Up to 15 people PARTICIPANTS - Hold separate focus group discussions with men and women in each community/village. Ensure participation of vulnerable groups (elderly, disabled, femaleheaded households) INVITATION - Invite up to 15 participants at least one week in advance selected randomly (One way to do this is to add the total number of households in village, divide by 15 and invite a male from that household. Re- do exercise with different starting point and invite a female from that household) REFERENCE - Refer to the ECB Good Enough Guide Tool 6 on How to Conduct a Focus Group 54

60 FGD Assessement Adult Guide Discussion Topic Key Concepts to be Explored Guide Questions Time B 1.Stakeholder Analysis/ Coordination a) Stakeholders that need to be considered in accountability strategy Follow the instructions in Stakeholder Mapping in Annex E. Information Provision of the FPMG Complaint and Response Mechanism Resource Guide. 20 min b) Contextual understanding of relevant actors to community c) Stakeholders that need to be considered in coordination strategy 2. Information Provision a) Current level of information provision - Community knowledge of World Vision - Knowledge of project activities How many of you have heard of World Vision? Can you tell me what you know about World Vision? What kinds of projects does World Vision implement here? How did you find out this information? What kind of information would you like to have in the future about World Vision or our activities? 15 min b) Information needs In what language would you like to receive this information? c) Preferred language for information 55

61 FGD Assessement Adult Guide B Discussion Topic Key Concepts to be Explored Guide Questions Time 3. Information Gathering/ Complaints a) Existing local procedures/ mechanisms for complaining b) Community comfort with complaining to World Vision c) General preference for filing complaints How many of you feel that you are able to provide feedback on World Vision activities when you want to? How do you currently provide feedback to World Vision if you have a suggestion about a project in your community? If there is something about a World Vision project that you don t like, how do you currently share this information with World Vision? If you have raised an issue in the past, how did World Vision staff respond? What do you think would be the best way to convey a complaint to World Vision? 20 min Would these methods also work for sensitive complaints or would you suggest something else? Is there anyone in your community that would find it difficult to complain in the ways you suggested, such as the elderly, women or others? Discussion Topic Key Concepts to be Explored Guide Questions Time 4. Consultation a) Preferred vehicles for consultation and information provision There are various ways in which we can consult with you about our projects. Some of the methods we can use are print materials, community meetings/focus group discussions like this one, individual meetings, notice boards, video presentations, etc. Think about how we have worked with you in the past and how you would prefer to interact with World Vision. Consider how information can be easiest to understand, most interesting, and best shared. Can each of you come up to this flipchart one by one and mark which method you think is the best, which you think is the second best and which is the third best. You should only rank 3 methods, not all of them 20 min Community notice board Print materials Video Community meetings/fgds Individual meetings Other

62 FGD Assessement Adult Guide Discussion Topic Key Concepts to be Explored Guide Questions Time B FACILITATOR: A flipchart with this matrix should be prepared in advance. Move the flipchart paper away from the audience so that there is some privacy in voting. You can use 3 rocks for voting while the reporter records the total number of responses ranked 1,2 and 3 separately so as not to influence people with previous votes. 15 min Once the voting is completed, show participants the results of the ranking and summarise it. 5.Participation a) Level of participation of community people in activities b) Existing community structures or organisations Which decisions was the community involved in during planning for World Vision projects? How were beneficiaries selected? Who was involved in the selection process? What were the criteria for selection? How do you currently participate in World Vision projects? What is the role of community organisations? c) Existing community representatives 57

63 FGD Assessement Child Guide B WORLD VISION <INSERT COUNTRY NAME> Accountability Design: Community Focus Group Discussions NOTES RESOURCES REQUIRED 1. STAFF - 1 Facilitator, 1 Note Taker, 1 Observer (ideally) MATERIALS - a. 1 Flip chart pad b. A few different colored markers c. Different colored paper in different sized circles for Stakeholder Analysis d. 2 pieces of A4 paper per child SNACKS/DRINKS - For all participants at end of exercise FOCUS GROUP PARAMETERS 1. SIZE - Up to 15 youth PARTICIPANTS - Hold focus group discussions with youth in each community/village. Ensure participation of youths from households with vulnerable groups (elderly, disabled, female- and child-headed households) INVITATION - Invite up to 15 participants at least one week in advance selected randomly (One way to do this is to add the total number of households in village, divide by 15 and invite a youth from that household.) REFERENCE - Refer to the ECB Good Enough Guide Tool 6 on How to Conduct a Focus Group 58

64 FGD Assessement Child Guide Discussion Topic Key Concepts to be Explored Guide Questions Time B 1. Stakeholder Analysis/ Coordination a) Stakeholders that need to be considered in accountability strategy b) Contextual understanding of relevant actors to children Do you know of any stakeholders/ NGOs/ CBOs that are helping you and your community? FACILITATOR: Distribute 1 A4 paper per child. Can you draw the one that you think is the most important? One by one, please tell me who you think is the most important and why? FACILITATOR: Follow the instructions in 'stakeholder mapping' in section E. Information Provision of the FPMG Complaint and Response Mechanism Resource Guide 20 min 2. Information Provision a) Current level of information provision - Children s knowledge of World Vision - Knowledge of activities b) Information needs How many of you have heard of World Vision? Can you tell me what you know about World Vision and what we do? What would you like to know about World Vision and what we do? 10 min 3. Information Gathering/ Complaints a) Existing local procedures/ mechanisms for complaining b) Community comfort with complaining to World Vision c) General preference for filing complaints If there is something about a World Vision project that you don t like, how would you share this information with World Vision? What do you think would be the best way to convey a complaint to World Vision? 10 min 4. Consultation a) Preferred vehicles for consultation and information provision On the 1 st side of the white paper you have and with the colored pens please draw the way used currently by World Vision <COUNTRY> to inform you about any activity or project. On the other side draw the best way you would like to know about the activities and projects. FACILITATOR: Ask each child to explain his or her drawing. 25 min 5. Participation a) Level of participation of community people in activities Did anyone ask you for your opinion during the planning of World Vision projects? How do you currently participate in World Vision projects? Is there a way you would like to participate? 10 min 59

65 CRM Deveopment c CRM Development Community Help Desk Guidelines Suggestion Box Guidelines Community Help Desk Contextualisation Workshop Session Plans, Handouts and PowerPoint Presentations...68 Suggestion Box Contextualisation Session Plan and Handouts

66 CRM Options Complaint and Response Mechanism Options This document can assist in your decision as to which CRM is most applicable. This list is NOT exhaustive. There are innumerable ways to structure a CRM to best suit your context. If you are not using a Community Help Desk or Suggestion Box it is very important to refer to the Danish Refugee Council s Complaints Handbook 2008, Chapter 3 to help you design a mechanism that best works for your context. C CRM Advantages Disadvantages Community Help Desk Group of community members who receive complaints at meetings and distributions Suggestion Box Locked box for receiving complaints and feedback. Include options for the illiterate e.g. access to tape recorder and tapes or literate volunteers. Logbook A. Completed by staff on field visits or volunteers Logbook B. Left for communities to fill in themselves Office day A regular time e.g. 1 day per week is allocated for communities to come to the office to give feedback or make a complaint Telephone or sms A telephone number is published for receiving complaints Mail Feedback/complaints sent in by post Local agencies Trusted local agencies collect feedback and pass it on to World Vision Does not require high levels of literacy. Problems can be solved by the help desk members, reducing WV time. World Vision can immediately collect the complaints. Empowers communities to participate in the CRM. Potentially high levels of confidentiality (depending on how it is managed). World Vision does not have to be present for it to be used. Quick set up Cheap and doesn t require great deal of training Allows staff to consolidate major issues daily Quick set up Cheap and doesn t require great deal of training Can be left in communities Convenient for communities Quick set up Cheap and doesn t require great deal of training More staff are available, making it more likely that complaints can be resolved that day Can be confidential Cheap for the organisation Doesn t require great deal of training Can be confidential Cheap for the organisation Doesn t require great deal of training Communities may be more honest with intermediaries than with the agency giving aid Reinforces community structures Transparent process that World Vision accepts and responds to complaints Low levels of confidentiality. Subject to abuse by community members operating the help desks. Success dependent on selection of Help Desk Committee members. Requires time and investment to set up, including training of staff and help desk committee, resources for them to use. Requires regular collection and responses. If complaints are not received immediately by World Vision, responses will also be delayed. Not systematic Relies on staff recording information to recall details and to prioritise what is important Cannot be tracked well Not secure or confidential Can be manipulated when left in community Not systematic Cannot be tracked well Often inconvenient for communities, depending how far they are from the office Can be disruptive for staff Systems must be in place to ensure the phone is always answered in the appropriate language at the published times Can be costly for the poor Depends on access to phones and functioning phone lines Depends on access to stamps and a functioning postal system Can take a long time Can be manipulated by the local agency People excluded by existing power structures may continue to be excluded 61

67 CHD Guidelines C COMMUNITY HELP DESK GUIDELINES a complaint and response mechanism 1. Introduction Receiving complaints and responding to them is central to accountability, impact and learning 1. World Vision is committed to ensuring its stakeholders have an opportunity to provide feedback and complain about its staff and operations. A Help Desk is a community based model for providing this opportunity. 2. What is a Community Help Desk? A Community Help Desk is a mechanism for receiving and responding to complaints and feedback that adheres to complaint and response policies in your organisation. It is a committee of responsible community members that are available during distributions and meetings to receive and respond to community complaints and feedback on a project. Ideally, the committee will be seated at a well-signed table (hence the name Help Desk ), and be responsible for receiving and recording complaints and feedback from members of the community. There may be a more appropriate name for the Community Help Desk depending on your context. What is the most appropriate name for the Community Help Desk in your context? 3. Why have a Community Help Desk? A Community Help Desk allows beneficiaries and other community members the opportunity to give their feedback and make complaints in a non-threatening environment. This will help World Vision resolve issues early and inform program redesign, which will contribute to more effective programmes. It is also an opportunity for information sharing between World Vision and the community, and addressing information gaps felt by the community. The transparent process helps to protect all involved from false accusations of favouritism, unfairness or corruption. The Community Help Desk has the benefits of accessibility, empowering beneficiaries with a sense of ownership, and quick resolution of minor issues; whilst giving service providers valuable feedback on project impact, input for improvement of operations and systems, and shared responsibility in implementation. 4. When to use Community Help Desks? Help Desks are most appropriate for programs that involve regular community gatherings, for example distributions of food or non-food items (NFIs). This ensures Help Desk committee members are physically available, and easily accessible to beneficiaries who all have to be present for the program itself. A temporary Help Desk should also be available during any registrations for such programs. Community Help Desks are most useful for regular distributions with the same communities, due to the community level training required for effective implementation. They may also be used for other programs in situations where the Help Desk committee convenes regularly (weekly/monthly) and beneficiaries have easy access to the meeting point. 1 Good Enough Guide p49 62

68 CHD Guidelines 5. Who makes up a Community Help Desk committee? The composition of the Help Desk committee is critical to its success. The overall goal for Help Desk committee composition is that it is considered respected, safe and accessible to all community members. C In order to achieve this goal, criteria for composition of a Community Help Desk are important. Different donors may have specific requirements about who should be members of a Help Desk committee. These requirements override the list below where there is conflict. However, if the terms proscribed by the donor result in a committee that is not considered representative or safe by the community, the reasons should be documented and raised with the donor. Here is a list of recommended criteria. You may need to contextualise this list. The Community Help Desk committee should consist of: A representative mix of men and women of different ages. Committee Members that have the general consensus of the whole community Non-beneficiaries from the community must be invited to be represented on the Help Desk. However, if this invitation is denied, their participation is not compulsory. People of vulnerable groups where possible At least two members who can read and write A representation of all the local languages Willing to be a Help Desk member and committed to abiding by the Community Help Desk Guidelines. The Community Help Desk committee should not consist of: Anybody who requires payment in any form. Anybody who could compromise the safety of people using the Help Desk. The number of people on a Community Help Desk should be sufficient to limit opportunities for corruption, offer a range of representation and allow for substitution if someone is absent, but not so large that it becomes unmanageable or its role diminished. 4-8 people are recommended. What will be the size of the Community Help Desk? Structure of the Community Help Desk The team of Help Desk committee members must have a team leader (who can be replaced when not available) and a secretary. The rest of the team are called Community Help Desk committee members. The team leader is responsible for leading generally, and leading discussions on problems and solutions. The secretary is responsible for recording complaints and feedback, and for looking after the stationery and regalia. Term of office This will depend on the duration of the program e.g. maximum of 12 months. Reappointment will be the result of re-election by the community. Note: rotation of responsibility and election of new members will necessitate training of each group by World Vision. 63

69 CHD Guidelines C What will be the term of office? World Vision can call for a re-election if there is suspicion of irregularities in the selection process. The following will result in replacement from Help Desk duties: lack of integrity, transparency or confidentiality; lack of commitment; breaking the conditions and responsibilities outlined in the Community Help Desk Guidelines; theft and any illegal activities. Are there any additional conditions for replacement to include? 6. Who is the Community Help Desk for? The Help Desk is primarily aimed at beneficiaries and non-beneficiaries in the program area, however all stakeholders are invited to use the Help Desk to channel feedback or complaints if they choose. 7. What can the Community Help Desk do? The Help Desk is responsible for receiving, recording and responding to complaints from members of the community. It is also a source of information for both the community and World Vision. You may need to contextualise this list. A Community Help Desk can: 1. Record all complaints and feedback received related to World Vision programs, commitments or conduct. 2. Provide a receipt for all complaints and feedback received. 3. Provide information on the distribution programme, World Vision and how to make a complaint. 4. Confirm beneficiary selection criteria and other program information provided by World Vision. 5. Pass non-sensitive feedback and complaints about World Vision s activities to the WV Food Monitor on site. 6. Collect complaints on sensitive issues related to World Vision s program into a secure complaints box. World Vision will then investigate and follow up on complaints and feedback. 7. Provide information on other programs and services that exist in the area. The Community Help Desk must be in a position to ensure that it adheres to the guidelines and engage in dialogue with complainants before processing their complaints through the established protocol. 8. What can the Community Help Desk not do? You may need to contextualise this list. The Community Help Desk will not: 1. Deal with issues unrelated to World Vision. 2. Make programmatic decisions that are binding on World Vision. 3. Represent World Vision in any discussions, negotiations or communications. 4. Investigate complaints or feedback for World Vision. 9. At what stage of the program should a Community Help Desk be set up? 64

70 CHD Guidelines A Help Desk committee should be formed before any item is distributed in the course of the programme. Once formed, the Help Desk is expected to be present at every distribution, registration and all public meetings in the course of the programme. During registration the Help Desk may need to be manned by staff and stakeholders who are not beneficiaries. C 10. How to set up a Community Help Desk Firstly identify any donor requirements for how a Community Help Desk needs to be established and follow these. If none exist, use the following process: 1. Inform local stakeholders and community leaders of your intentions. 2. Conduct an assessment with the community to determine if they want a complaint and response mechanism, and if a Help Desk is the most appropriate. 3. If so, contextualise these guidelines. Ideally, do this in a joint workshop with staff and community representatives (including vulnerable groups). 4. For implementing a Help Desk, follow 11. What is the responsibility of Help Desk Committee members and 12. What is the role of World Vision in relation to the Help Desks outlined below. 11. Responding to complaints The complainant must be contacted at the next distribution at the latest to inform the person of the outcome of the process or action based on the feedback. If a decision has not been reached, the complainant should be provided with a progress report with an indication of a likely date of conclusion. What is the maximum timeframe for responding to complaints? All the complaints and feedback must be recorded, and receipt provided to the complainant. Ideally, complaints and feedback will be recorded in duplicate, with one copy to be kept with the Help Desk (and returned to the office after the distribution for filing), and the other to be given to the complainant. If this is not possible, provide a simple receipt detailing the name of the complainant, date received, date response is due and signature of the person receiving the complaint. What is the recording process? The relevant staff member (the person responsible for that program/area) at the district level is responsible for ensuring a response is provided within the said timeframe. The complainant must sign to acknowledge receiving a response to the complaint or feedback s/he provided. 12. What is the responsibility of Community Help Desk committee members: You may need to contextualise this list. Community Help Desk committee members, on accepting the role, agree to: 1. Act in a fair, transparent and respectful manner at all times when working at the Help Desk. 2. Ensure the confidentiality of complaints made to the Help Desk. Raise them only with World 65

71 CHD Guidelines C Vision staff. Do not discuss issues raised with other members of the community. World Vision is responsible for raising the issues with other stakeholders. If it is a police matter, the issue should be reported directly to the police as well as to World Vision. If the issue is related to World Vision staff Help Desk members can raise the issue with the District Coordinator, Area Manager or Accountability Officer. 3. Attend training, and operate according to the trainings. 4. Meet World Vision before and after each distribution. 5. Be available throughout the distribution. 6. Do what a Community Help Desk can do, don t do what a Community Help Desk can t do 7. Raise any issues with WV about the HD that they may be resolved 8. Only provide information to the community that is provided in written form by World Vision 13. What is the role of World Vision in relation to the Community Help Desks: You may need to contextualise this list. World Vision is responsible to: 1. Train staff and Help Desk members on the organisation, program, the Community Help Desk Guidelines, how to receive and record feedback and complaints and what to do with the feedback and complaints received, including response and referrals. Provide written information on the program and other programs and services available in the area. 2. Provide contact details for the appropriate contact people for issues relating to World Vision staff at the distribution point 3. Allocate a suitable space for the Community Help Desk to be stationed. One that is accessible to all beneficiaries and non-beneficiaries, and where people are able to have private conversations. 4. Guarantee the protection from victimisation and verbal abuse of Help Desk members by World Vision staff when sensitive issues are raised. 5. Ensure the confidentiality of complaints raised by the community and Help Desk members. 6. Provide resources including a CRM Register, pens, ruler, Community Help Desk banner and a table and chair for at least one of the members where possible. It is recommended that some form of identification also be provided e.g. name tag and hat or reflectors. Written information including a copy of the Community Help Desk Guidelines and information about World Vision and the program also needs to be provided. 7. Meet with The Community Help Desk Committee at the beginning of each distribution. Advise of any changes to the program, update on progress of resolution of complaints that may be passed on to complainants, and discuss any issues. 8. Introduce the The Community Help Desk committee and its role to the community during community meetings. Encourage people to visit the The Community Help Desk as the first point of call for any complaints or feedback. Inform communities of their right to complain about the program and World Vision, and their right to receive a response. 9. Regularly visit the Help Desk during the distribution to see if there are any issues that can be resolved immediately. 10. Meet with The Community Help Desk Committee at the end of the day, note complaints and feedback. Advise Help Desk Committee what will be done by when. Complete CRM Register where appropriate. Discuss any issues the Help Desk Committee would like to raise. 11. Check with beneficiaries and non-beneficiaries that they feel comfortable to access the Community Help Desk. If not, make appropriate changes. 12. Deal with the feedback and complaints in accordance with the CRM Policy. 13. Ensure feedback from Community Help Desks informs programming. Note: any feedback must 66

72 CHD Guidelines be confirmed as significant before redesigning programs on this basis. Confirmation might include an assessment. C 67

73 SB Guidelines C Suggestion Box Guidelines A Complaint and Response Mechanism 1. Introduction Receiving complaints and responding to them is central to accountability, impact and learning 1. World Vision is committed to ensuring its stakeholders have an opportunity to provide feedback and complain about its staff, commitments and operations. Suggestion boxes are one way of providing this opportunity. 2. What is a suggestion box? A suggestion box is a mechanism for receiving and responding to complaints and feedback that adheres to the Complaint and Response Mechanism (CRM) Policy. Some people may call it a complaints box, as that is its primary purpose, however suggestion box has less negative connotations, and encourages positive feedback as well as the negative. Other names may be more appropriate depending on your context. It is a locked box that is available to the community to place suggestions, feedback and complaints inside. It must be constructed in such a way that paper can be placed in the box, but not removed without a key. What is the most appropriate name for the suggestion box in your context? 3. Why have a suggestion box? A suggestion box allows beneficiaries and other stakeholders the opportunity to give their feedback and make complaints through a more confidential mechanism. Primarily it will help World Vision to identify and solve issues and incidents early. The suggestion box has the benefits of accessibility and confidentiality. 4. Who is the suggestion box for? The suggestion box is primarily aimed at beneficiaries and non-beneficiaries in the program area, however all stakeholders are invited to use the suggestion box to channel feedback or complaints if they choose. 5. What can people put in the suggestion box? All World Vision stakeholders are welcome to put any suggestions, feedback or complaints in the box related to World Vision s staff conduct, program or commitments. Normally, the suggestion box cannot deal with issues unrelated to World Vision s staff conduct, program or commitments. If your program or other organisations in the area have capacity, you may expand the topics to include issues of abuse, or complaints about other organisations in the area. To do this, you must ensure you have the appropriate mechanisms in place to deal with the issues and complaints. This will include referring complaints about other organisations to the organisation itself in a sensitive manner, and dealing with issues of abuse according to organisational policy and if necessary referring to a specialist organisation. Does your organisation have the capacity to deal with issues unrelated to World Vision? 1 Good Enough Guide p49 68

74 SB Guidelines If you answered no, and you decide this is critical to your context, nominate a person to be responsible for building such capacity: C 6. When to use suggestion boxes? Suggestion boxes can be used in most programs. The community will be able to tell you if it is something they wish to utilise. If suggestions boxes are used, it is best if they are implemented throughout the entire duration of the program (from registration onwards). If the environment is particularly sensitive, suggestion boxes may draw unwanted attention and suspicion from local authorities. Make sure this is not the case before deciding to use suggestion boxes. 7. Mobile or fixed? Suggestion boxes can be mobile, taken to the field by World Vision staff for community meetings, distributions etc or fixed to central locations at district offices or at locations accessible to the communities. When choosing a mobile or fixed suggestion box, the practicalities of emptying the suggestion box must be considered. Time is a particular issue. Complaints and feedback must be received and responded to within the timeframe stipulated in the CRM Policy. It is strongly recommended that the community is consulted on their preference for mobile or fixed suggestion box, and that they are aware of the implications regarding timing of response. Mobile Taken to and from the site by staff for meetings or distributions, can be immediately returned to office. Time for response generally less. Less confidential. It is generally more visible who accesses the suggestion box 1. Fixed Must be regularly collected from field site. Time for response generally more. More confidential. Suggestion box can be accessed any time of day or night. Tick what you have decided for your program: Mobile Fixed 8. Where to use suggestion boxes? Ideally, suggestion boxes should be placed in an area where those who wish to access it can do so as confidentially or privately as possible. To this end, suggestion boxes should be placed away from the centre of attention (e.g. away from the distribution, or at the back of a meeting). However, keep in mind it must be visible so that people can see the suggestion box in order to access it. In the case of mobile suggestion boxes, they should be available for as long a period as possible to the communities. 69

75 SB Guidelines C 9. Getting sufficient information The best way to get the information you need to be able to address the suggestion, feedback or complaint placed in the box is to make a form available for people to complete when they make a complaint. However, using a form may restrict confidentiality, as people have to take the form and complete it. You may like to have forms available, but also make it clear that people can use their own paper to submit complaints if they like with the caveat that those with insufficient information will be difficult to address properly. Will you have forms available for people to use with the suggestion box? 10. Who opens the suggestion box? Who opens the suggestion box will determine how confident people are in using the suggestion box. When deciding who should open the suggestion box and how, consider: Transparency: should be at least two people who the community will trust. Practicality: at the lowest level possible of the organisation will allow for faster turnaround to respond to complaints. Confidentiality: in the case of sensitive complaints, the least people who know about the complaint, the more confidential it is. Note: only the person who is responsible to open the suggestion box should have access to its keys. <EXAMPLE: The District Coordinator and Stakeholder Representative should open the suggestion boxes together weekly and decide a response. If a Stakeholder Representative is not available, the second most senior person in the District is recommended so that at least two people are opening the suggestion box together>. 11. Who documents information from the suggestion box? All non-sensitive complaints should be documented in a district or program level complaints register. Sensitive complaints should not be documented at the district level, but be addressed per the CRM Policy. Who will document non-sensitive complaints in your office? Who is responsible for passing on sensitive complaints in your office? 12. What happens to the complaints after they are documented? Complaints must be responded to per the CRM Mechanism Policy. Responses need to be provided to the complainant at the next distribution or within 4 weeks. If a decision has not been reached, the complainant should be provided with a progress report with an indication of a likely date of conclusion. Complaints unrelated to World Vision can either be ignored (if anonymous), or passed on to the relevant agency. If the complaint is ignored or referred, and contact details are provided, the complainant needs to be informed why the complaint will not be addressed by World Vision. In the case of child protection/abuse in particular staff need to identify appropriate child protection agencies, and refer 70

76 SB Guidelines the case (in the case of abuse by staff, the CRM Policy should be followed, and referred to Human Resources Department). The relevant staff member (the person responsible for that program/area) at the district level is responsible for ensuring a response is provided within the said timeframe. C Who is responsible for documenting responses to non-sensitive complaints? Who is responsible for ensuring complaints are appropriately responded to within the stipulated timeframe (adhering to the CRM Policy)? 13. Who needs to know what about the suggestion box and how to tell them? Beneficiaries, non-beneficiaries and other stakeholders need to know where the suggestion box is, how to use it (form or any paper), what they can suggest or complaint about, who opens the box, when and how they will receive a response. They also need to be provided with a contact telephone number for alternative methods of complaining. This can be the Feedback Officer and District Coordinator. Community meetings, brochures and posters are suggested mechanisms for communicating this information. Local authorities and community leaders need to be provided a copy of the Suggestion Box guidelines and be made aware of the purpose of the suggestion box and assured it is not for any other purpose (besides the collection of feedback on World Vision programs and staff conduct to assist in program quality). Staff need to be provided a copy of these guidelines, the CRM Policy, and the WVZ Code of Conduct. Who will be responsible for ensuring the above stakeholders are sufficiently informed about the suggestion boxes? 13. What is the role of World Vision in relation to the Suggestion Boxes: World Vision is responsible to: 1. Sensitise local authorities to the availability, use and purpose of the suggestion box. 2. Make community members aware of the suggestion box and how to use it, per these guidelines. 3. Make the suggestion box available per these guidelines. 4. Guarantee confidentiality of sensitive complaints. 5. Guarantee the protection from victimisation and verbal abuse of complainants by World Vision staff when sensitive issues are raised. 6. Respond before the next distribution, or within 4 weeks of the date the complaint or suggestion was placed in the box. 7. Check with beneficiaries and non-beneficiaries that they feel comfortable to access the Suggestion Box. If not, make appropriate changes. 8. Deal with the feedback and complaints in accordance with the CRM Policy. 9. Ensure feedback from suggestion boxes informs programming. Note: any feedback must be confirmed as significant before redesigning programs on this basis. Confirmation might include an assessment. Who is responsible for ensuring the Suggestion Boxes operate according to World Vision roles and responsibilities? 71

77 CHD Contextualisation Workship: Trainer' Agenda C Trainers Agenda Community Help Desk Workshop Objectives By the end of the workshop: Community Help Desk Guidelines will be appropriate for the context in which you are operating. Participants are able to describe the importance of an effective CRM and the relationship between the CRM, complaints and accountability. Resources for implementation appropriate to the context are identified. Staff and community members have a greater appreciation of each other s perspectives on the operation of CRMs. Time Activity Purpose Duration Method Resources 45 mins Set up/review seating plan Set up flip charts, posters, data projector Review day with training team Personal preparation 7.45 Trainer arrival (Trainers only) 30 mins Per office standard. Take care with religion of community members. A multi-faith devotions may be more appropriate or an option to not attend this section Arrivals and Devotion Registration of participants and Devotion Pre-prepared flip chart and/or data projector Markers Agenda (1 per participant) Cards (2 per participant) 2 x containers 30 mins Presentation Plenary discussion Welcome participants to the workshop Establish a common understanding for what the workshop will achieve and how the workshop will be run 9.00 Introduction Workshop objectives, agenda and expectations 72

78 CHD Contextualisation Workship: Trainer' Agenda Time Activity Purpose Duration Method Resources 45 mins Group activity 9.30 Trust building Build trust between participants who have never met and are from different backgrounds Tea break 15 mins Data projector Screen Speakers Laptop Flip chart Markers Copies of FPMG and WV CRM Policies Handout: Questions for Video (1 per participant) Powerpoint: Responses to Questions for Video 45 mins Video Presentation Group discussion Introduce the concept of accountability How CRMs relate to accountability What makes a good CRM Raise awareness of World Vision CRM Policies Feedback and complaints Pre-prepared flip chart 30 mins Presentation Group discussion Establish a common understanding of what community help desks are, and why they are being used Analyse the positives and potential challenges of implementing help desks Community Help Desks Data projector and screen Help Desk Guidelines (1 per participant) 30 mins Presentation Group work Contextualise CHD Guidelines Community Help Desk Guidelines (A) Lunch 60 mins C 73

79 CHD Contextualisation Workship: Trainer' Agenda C Time Activity Purpose Duration Method Resources Data projector and screen Help Desk Guidelines on screen for editing 60 mins Plenary discussion and joint editing Contextualise CHD Guidelines Community Help Desk Guidelines (B) Help Desk Resource Kit list on projector or printed ½ A4 pages 30 mins Group work Plenary discussion Identify resources and systems required for effective operation of help desks Resources Tea Break 15 mins 85 mins Flip charts Markers Stakeholder Mapping guide Information Provision Guidelines for facilitator s reference, and on data projector (optional) Identify information provision requirements for effective operation of community help desks Option 1: Information provision Address issues placed on the parking lot throughout the day Option 2: Parking Lot Evaluation forms 20 mins Presentation Individual completion of forms 4.40 Closure Review and next steps Evaluation 5.00 Workshop end 30 mins Group discussion Identify what went well, and what can be improved for next time 5.00 Trainers Debrief (Trainers only) 74

80 CHD Contextualisation Workship: Session Plans Session 1: Introduction Purpose: Welcome participants to the workshop Establish a common understanding for what the workshop will achieve and how the workshop will be run C Time: 30 minutes Note: How a workshop starts sets the tone for the rest of the day. Try to be lively, involved, and encourage participation from the trainees. If you can think of a creative way to start the day, give it a go! Time Activity Trainer s notes Resources 10 Introduction Welcome participants Ask for introductions trainers start first Ask participants to introduce themselves - Name, village, role and experience with complaints - Write names on name tags Flip chart: - Welcome! CRM Contextualisation Workshop. World Vision. 15 Suggestion for introduction exercise 1 : Ask participants to line up in the order of how far they travelled to the venue, having those who came from furthest a field at the front of the line and those who came the least distance at the back of the line. After they have finished the forming the line they can either remain standing and give their name, role and experience of accountability and impact measurement, or you can ask them to sit back down again and do the same. Expectations and Ground Rules 2 Distribute cards or post-its to each participant. Ask participants to write an expectation on one card and a ground rule on the other. Circulate with a container (such as a box or a hat) clearly labelled expectations and another container clearly labelled ground rules. Take each card and write it on the flip chart. A co-trainer can help with this. Powerpoint or flip chart with objectives of the workshop refer Introduction to Contextualisation Workshop. 2 cards or post-its for each participant. 2 labeled containers for collecting expectations and ground rules. 75

81 CHD Contextualisation Workshop: Session Plans C Do not write repeat ideas on the flip chart.show slide: Objectives (PowerPoint or pre flip). Compare the expectations with the objectives for the workshop. Explain clearly if expectations are unrealistic or outside the remit of the workshop. Establish that everyone agrees with the ground rules. Ask if the group would be happy to establish a parking lot a flip chart pasted on the wall for any important issues that are raised that there is no time to deal with as part of the session. If so, hang a parking lot on the wall, and commit to reviewing the issues at the end of the day. As part of active participation (normally comes up as part of group rules), ask for volunteers to (a) review the training at the end of the day (b) lead icebreakers after the breaks and (c) act as timekeeper, making sure participants return from breaks on time. Tell participants where the toilets are, any health and safety considerations, and when and where breaks will be 5 Agenda and conclusion Hand out the agenda to each participant. Read together in group. Ask if there are any questions? Handout: agenda (one for each participant) Welcome participants again to the workshop and introduce the next facilitator and their session. 1 1 Good Enough Guide Training Module, Draft Version 3 2 Good Enough Guide Training Module, Draft Version 3 76

82 CHD Contextualisation Workshop: Session Plans Session 2: Trust Building Purpose: The purpose of this session is for participants to get to know each other in a fun and relaxed environment. For the facilitator, this is an important opportunity to build trust with participants C Note: You can use as many or as few games as you want within the time. If people seem engaged in a game keep going, alternatively if they seem bored keep moving to the next activity! If these activities are not culturally appropriate, or if you have other activities you are more comfortable facilitating, use those. There are many activities that can achieve the purpose of this session. Time: 45 minutes Time Activity Trainer s notes Resources 5 Introduction 10 Name game Please ensure that all the participants are wearing a name tag! Name tags already allocated to each participant Randomly divide the participants into groups of equal numbers. This can be done by numbering off the participants 1,2,3,4,1,2,3,4 around the room. a) b) c) d) Tell each of the groups that they have 30sec to line themselves up in alphabetical order (A-Z) using their first name without speaking. From left to right. (Correctly done it should be Alice, Ben, Colin and Emma etc ) Tell each of the groups that they have 30sec to line themselves up in order of height from tallest to shortest without speaking from left to right. (Correctly done the tallest person will be at the extreme left of the line and the shortest person at the extreme right end of the line) Tell each of the groups that they have 30sec to line themselves up in order of birth date from left to right. (Correctly done it should be 1 January, 21 January, 4 March, 21 April etc) Any more orders you can think of! 77

83 CHD Contextualisation Workshop: Session Plans C 10 Activity 2 The newspaper game All participants should remove their shoes before playing the game. Divide groups in to equal numbers. In some contexts it may be appropriate for groups to be exclusively male or female given the close contact between people. Newspaper Each team should be given a piece of newspaper or a piece of A3 paper for which one member of the team is given responsibility for carrying around with him or her for the duration of the game. All the participants are then told to walk around the room and mingle with each other (you may also choose to use music if you have access to a CD player). When the facilitator shouts NEWSPAPER! (Or turns the music off) each participant must find his/her team members and stand on their piece of newspaper. The last team to be fully standing on their piece of newspaper is eliminated from the game! (It may be good to do a practice round or two) After you have completed one round, fold the paper in half so it continues to be become smaller and play another round. After the 2nd round, again fold the paper in half so now the paper should be very small and difficult for teams to stand on together! The fourth round will be the final round of the game and the first team to have all their entire team members standing on the piece of paper is declared the winner! 15 The blindfold game Create a small obstacle course outside. There should be a clearly defined entry and exit point to the course. In between the two points place some eggs (no need to boil them!) and some chairs that will be obstacles for people to navigate around Select two brave participants from the group to act as volunteers. Blindfold one of the volunteers. Spin them around in a circle so that they become disorientated. Have the other volunteer who is not blindfolded direct the blindfolded person around the obstacles. They must not guide the person physically but provide verbal directions (i.e. Walk to the left. Take one step to the right. Stop! Etc ) Eggs and other objects to set up an obstacle course 78

84 CHD Contextualisation Workshop: Session Plans After one person has completed the course have the other volunteer put on the blindfold. Then quietly remove all the obstacles from the obstacle course so that there is nothing to hinder him/her from passing from the start to finish. However the other volunteer and the crowd of people watching must act in such a way as to make it appear to the person blindfolded that the obstacles are still in place! C Have the volunteer without the blindfold guide his colleague through the course as if there were eggs and chairs still in place. The crowd can also assist in guiding the person by shouting conflicting messages at the same time. (Go left! Go right! Watch out for the egg! Etc.) This will complete confuse the person who is blindfolded. After they have completed the course have the person take off the blind fold They will be surprised to see that there are no obstacles at all for them to have navigated! The facilitator should then use this as an opportunity to get feedback from the two volunteers and all the participants about the exercise. Some good questions to ask are: What was it like being blindfolded? What was the most difficult part of the exercise? For the second person, were they confused by all the different directions? For the second person, how did they feel once they removed the blindfold and realised that the obstacles had been removed?? How does this exercise relate to a) our work in the field? And b) this workshop? These questions should provide a basis for a discussion around the importance of trust, good communication, listening skills and the importance of facilitation. 5 Conclusion 79

85 CHD Contextualisation Workshop: Session Plans Session 3: Feedback and Complaints C Purpose: Introduce the concept of accountability How Complaint and Response Mechanisms relate to accountability What makes a good Complaint and Response Mechanism Raise awareness of World Vision CRM Policies Time: 45 minutes Energiser time: If the group is a little flat, ask one of your volunteers to lead a quick energiser before starting the session. Time Activity Trainer s notes Resources 3 Introduction Introduce the purpose of the session. Ask if anyone has heard of accountability? Does anyone want to explain accountability to the rest of the group? Let s watch a video. At the end of it, we will answer a few questions. Flip chart: - Purpose of session Video Hand out questions for the video. Introduce the video. This video was filmed in Sri Lanka and shows what complaint and response mechanisms World Vision used as part of the Tsunami Relief Response. They also talk about accountability and how it relates to complaint and response mechanisms. Show video. Ask participants to write their responses to the questions. Group Discussion Read out the questions one by one and ask for responses from the group. Once a few people have responded, read the answer from the presentation and explain further as needed for questions 1 & 2. For the remaining questions, answer in group discussion format. Notes for responses include: Handout: questions for the video (one for each participant) Presentation: answers to the first 2 questions about the video 80

86 CHD Contextualisation Workshop: Session Plans Q3: Including but not limited to the characteristics highlighted by the Good Enough Guide: use staff and notice boards to give information about complaints processes, develop a standard complaints form, make sure each complainant receives a response and appropriate action and collect statistics and track trends. C Participants may also take from other interviews in the video, and of course their own knowledge. Q4: Benefits of a complaints system are many. They include increased transparency, empowering communities we work with, improving program quality, reducing likelihood of corruption and serious incidents going undiscovered. Encourage a range of responses for group consensus that a complaints system is beneficial. Q5: Link is that complaints are a crucial element of humanitarian accountability, and that help desks are a complaint and response mechanism. Q6: Most people will not know the response to this question. It is a lead in to introducing the FPMG CRM Policy and the <COUNTRY> CRM Policy. Explain that these two policies determine what needs to be included in the Help Desk Guidelines, and how we receive and respond to complaints. Read out some key principles eg confidentiality and the different types of complaints and how they will be resolved, including sensitive complaints. Copies of the FPMG and <COUNTRY> CRM Policies to show the participants. May like to take a few extra for those who are interested in more detail. 2 Conclusion Recap what was covered in the session 81

87 CHD Contextualisation Workshop: Session Plans Session 4: Community Help Desks C Purpose: Establish a common understanding of what community help desks are, and why they are being used Analyse the positives and potential challenges of implementing help desks Time: 30 minutes Time Activity Trainer s notes Resources 3 Introduction Introduce the purpose of the session. Flip chart: - Purpose of session Has anyone heard of a help desk? Can anyone describe their experience with or understanding of what help desks are? 10 Presentation Define help desks and describe how they operate. Tell a story about the successful use of a help desk to paint a picture of how they operate, or if the audience has experience ask someone to tell their own story about the successful use of a help desk. Explain why help desks has been chosen as the CRM (eg results of assessment) Ask if anyone has any questions? Allow for a group discussion to ensure everyone understands basically what a help desk is and what it does. If the discussion goes in to too much detail, explain that we will be figuring out exactly how it will work here in the next session. Flip chart: - Pre-prepare a flip chart defining the help desk, how it operates (refer below) and why help desks has been selected as the CRM. Community Help Desks - a mechanism for receiving and responding to complaints and feedback - adheres to (list CRM Policies in your office) - committee of community members that are available during distributions and meetings - responsible for receiving and responding to community complaints and feedback - ideally seated at a desk 82

88 CHD Contextualisation Workshop: Session Plans 10 Group Discussion Ask participants to break in to groups of 3-5. Allocate half the groups to discuss the positives of help desks as a CRM, and half the groups to discuss the challenges of help desks. Take 5 minutes. Return to plenary. Ask for contributions from the groups and document on a flip chart. Ask participants to keep this in mind when working on the details of the CRM in the next session. If there are serious or complex issues raised, write on the parking lot to make sure they are resolved. 2 Conclusion Recap what was covered in the session Flip chart to document responses C Session 5: Community Help Desk Guidelines (A) and (B) Purpose: Contextualise the Community Help Desk Guidelines Time: 90 minutes Time Activity Trainer s notes Resources 3 Introduction Introduce the purpose of the session. 7 Has anyone here written guidelines for anything? Tell us about it and why you did it? We are going to work together to contextualise help desk guidelines. Who can tell me what contextualise means? Why would we need to contextualise guidelines? Why do you think we need guidelines for help desks? (establish clear reasons including common understanding, common processes, transparency in operation, everyone treated the same). We are starting with a draft of the help desk guidelines to make the process go more quickly. We can change as much as we like, as long as it still fits within the World Vision policies we discussed earlier. Help Desk Guidelines (1 per participant) 83

89 CHD Contextualisation Workshop: Session Plans C We will break in to small groups, and each group will take a section of the guidelines to go over in detail. We will have until lunch to review the guidelines. After lunch, we will come together and go over each section of the guidelines on the data projector. The group who reviewed that section will suggest changes, and the rest of us will have a chance to comment. Together, we re going to come up with Help Desk Guidelines that are most appropriate for us. Split into small groups of about 3-4 people each, including at least one staff member and one community member. Allocate each group a section of the guidelines until all the sections have been allocated. Try to ensure an even size of sections for each group, so that they finish at about the same time. 20 Group Discussion Small group work per instructions. Break for lunch 60 Energiser time: If the group is a little flat, ask one of your volunteers to lead a quick energiser. Plenary review Ask everyone to gather in a circle in front of the laptop, so they can see the screen and hear each other clearly. Go through each section one by one. Ask the group who was responsible for reviewing that section to suggest their changes. Make the changes, checking with the rest of the group. Ask the group if they have any further input. Move on to the next section. Repeat until the entire document is amended to the satisfaction of the group. Help Desk Guidelines displayed on the data projector for real time editing 84

90 CHD Contextualisation Workshop: Session Plans Session 6: Resources Purpose: Identify resources and systems required for effective operation of help desks C Time: 30 minutes Time Activity Trainer s notes Resources 3 Introduction In order for the help desk to function, it also needs resources. Has anyone here tried to do something but didn t have the resources they needed? What happened? 25 Identification of resources Split in to groups of 4-5 people. Ask them to list the resources they think are required for a help desk to function effectively 5 minutes. In plenary, write each resource on a half A4 page piece of paper and stick on the wall (an assistant trainer or participant can help here) until all items are documented. Show the Help Desk Resource Kit list on the data projector, or ask someone to read out items that were not listed by the group. Ask if these items are necessary in the context they are working in? If so, add to the list. Flip chart. Help Desk Resource Kit list ½ A4 piece of paper Ask the group to review the list of resources. You may want the group to prioritise the list. In this case, split the wall in to 2 categories: critical and ideal. Ask a participant to facilitate the group to decide which category each resource falls in to. Alternatively, you may just want the group to reflect on the list and decide if that is most appropriate to their context. Is there anything else missing? Is there anything that should be excluded? (Note, the information provision materials are very important and should not be exluded) Facilitate a brief discussion over what will determine whether or not the resources will be made available? Looking for answers eg budget, approval, ability to manufacture, staff getting it done. The aim of the discussion is for all present to have a realistic understanding of what it will take to provide the resources. 85

91 CHD Contextualisation Workshop: Session Plans C If it is known that budget will be an issue, you could facilitate a discussion around how you could save money and produce the resources for a minimum cost where can the community contribute? Where can we make our own materials, instead of producing them professionally? (eg, CRS in one instance used uniforms made out of the Food Aid bags to identify help desk committee members) Flip chart. Help Desk Resource Kit list ½ A4 piece of paper 2 Conclusion Review the final list. Session 7: Option 1: Information Provision Purpose: Identify information provision requirements for effective operation of community help desks. Choose this option if there are no or few very simple issues on the parking lot that can easily be resolved or referred outside the workshop to the satisfaction of the participants.time: 30 minutes Time: 85 minutes Energiser time: if the group is a little flat, ask one of your volunteers to lead a quick energiser. Time Activity Trainer s notes Resources 5 Introduction Can anyone in this room tell me of a time when they received information that really helped them, or when they didn t receive information and that made things very difficult? Purpose of session, and steps written on flip chartv Why is information provision important? Answers could include ability to plan, ability to access aid/ services, empowering, dignity, transparency. In this session, we will make sure that we are providing all the necessary information about help desks. The steps we will take to do this are: Step 1: what information do people need? Step 2: who needs the information? Step 3: how do we communicate this? WV <COUNTRY> has Information Provision Guidelines which set the standard for how we do this, we will refer to these guidelines as we go along. 86

92 CHD Contextualisation Workshop: Session Plans 10 Step 1: What information do people need? Plenary discussion Flip chart C What sort of information provision is important when it comes to help desks? Document answers on a flip chart. Includes right to complain, what they can and can t complain about, how to complain, how WV processes complaints, the right to receive a response and when to expect a response, how to make a sensitive complaint, confidentiality, where to make complaints that WV can t handle (referral processes). 40 Step 2: who needs the information? Group Work and Presentation There are two activities we need to complete to get a good picture of the people who will need this information. The first is stakeholder mapping, where we draw a map of all our stakeholders. The second is an analysis of the different types of vulnerable groups there are in the community. We will split in to 4 groups, each group will take on one of the activities. Stakeholder mapping guide Flip charts Markers Split the group in to 4, ensuring even representation of community and staff in each group. Allocate 2 groups to do the stakeholder analysis, and 2 to discuss vulnerable groups. They each have 20 minutes to complete the activity. Ask the first two groups to begin discussing who are the vulnerable groups in the community, and make a list on flip chart paper. While they are doing that, give instructions to the other 2 groups on how to do a stakeholder analysis. Give them copies of the instructions and ask a member of the group to lead the process. You may like to ask a staff member to volunteer for that role earlier. Their task will be to present the stakeholder map when they are finished. You will need to return to these groups and support them through the process. 87

93 CHD Contextualisation Workshop: Session Plans C Return to the groups dealing with vulnerable groups. Ask them to priorities the top 5 vulnerable groups in terms of who is most likely not to receive information if we do not focus on their needs, and their levels of vulnerability. Once they have done that, ask them to list the challenges in providing information to each of these groups. Their task will be to present the results. After 20 minutes, ask each group to present the results not more than 3 minutes per group. Take time to consolidate the two stakeholder maps, and the two vulnerable group analyses. The goal is that everyone is clear who are the main stakeholders and what we need to take in to consideration when communicating to vulnerable groups.. 20 Step 3: How do we communicate this? Now that we know what we want to communicate, and who we need to communicate it to, let s think about how we will communicate. In each of your 4 groups, take 5 minutes brainstorm a list of ways that you could communicate to these people. Take another few minutes to come up with the methods that you think will work to communicate what we need to communicate to our stakeholders and to the vulnerable groups in the communities we work with. Ask the first group to list one idea. Mark against a list of what it will communicate, and which stakeholders and vulnerable groups it applies to. Repeat with the second group and so on until all the main methods of communication are listed, and all key stakeholders and vulnerable groups are included. Information Provision Guidelines Section 7 on data projector (optional) Information Provision Guidelines for facilitator s reference 88

94 CHD Contextualisation Workshop: Session Plans Remember we spoke about Information Provision Guidelines? Now we have to check if this methodology meets the information provision standards in these guidelines. Are the methodologies we have selected: 1. Accessible, understandable and appropriate 2. Timely 3. Safe 4. Verifiable 5. Accountable (Refer to information provision guidelines for more detailed explanation of these terms) C What other points do we have to take in to consideration to make sure our information provision meets these guidelines? Document on a flip chart. Excellent so now we have a list of what we need to be able to communicate effectively about help desks. 5 What about other types of information these people need to know? Just so you are aware, the Information Provision Guidelines also includes a list of all the information World Vision should be providing to its stakeholders. It includes (give general summary). Information Provision Guidelines Section 5 on data projector (optional) We will make sure that this information is also provided to the help desk so they can pass it on to the community as part of their role. 5 Conclusion Summary of what has been covered and relevance to help desks and accountability. 89

95 CHD Contextualisation Workshop: Session Plans Session 7 Option 2: Parking Lot C Purpose: Resolve issues identified in the parking lot Choose this option if there are complex and/or many issues on the parking lot. Time: 85 minutes Energiser time: If the group is a little flat, ask one of your volunteers to lead a quick energiser. Time Activity Trainer s notes Resources 85 mins Introduce the session Flip chart Read out all the issues that are on the parking lot. Group the issues if possible. Ask the group to identify which cannot be resolved in this workshop, that will need to be referred to others eg senior management. For the remaining issues, ask the group to prioritise in which order you will address them. Start addressing the first issue by asking the person who raised the issue to explain it, and facilitating discussion from there. Continue until all issues are addressed. This will require careful time management. If some issues cannot be addressed within this time frame, make plans to defer them to a more appropriate forum. 90

96 CHD Contextualisation Workshop: Session Plans Session :Workshop Close Purpose: Review the workshop and achievements Next steps Evaluation C Time: 20 minutes Time Activity Trainer s notes Resources 2 Introduction 5 Presentation Ask the participant from the early morning who volunteered to do a summary of the day to present the summary. 5 Plenary discussion Once they are finished, ask the group to list what they have achieved for the day? This should include - contextualised help desk guidelines - a list of resources needed - stakeholder map and understanding of vulnerable group s information provision needs - list of what needs to happen to communicate help desks effectively Presentation Present the next steps that are planned for implementation of help desks. If there are remaining parking lot issues that are quickly resolved, or to be referred on, address them here. 5 Evaluation - Ask participants to complete the workshop evaluation form. - Thank participants for their hard work. Remind them that all they have done will be incorporated in to the systems and standards that will shape accountability in WV, and is very important. Evaluation forms 91

97 CHD Contextualisation Workshop: Powepoint C Power Point Supporting Video Questions and Answers 92

98 CHD Contextualisation Workshop: Agenda Help Desk Contextualisation Workshop <DATE> Agenda C Time Activity Purpose Duration Arrivals and Devotion Introduction 9.30 Trust building Registration of participants and Devotion 30 mins Welcome participants to the workshop Establish a common understanding for what the workshop will achieve and how the workshop will be run Build trust between participants who have never met 30 min 45 mins Tea break 15 mins Feedback and complaints Introduce the concept of accountability How CRMs relate to accountability What makes a good CRM Raise awareness of World Vision CRM Policies 45 mins Community Help Desks Establish a common understanding of what community help desks are, and why they are being used Analyse the positives and potential challenges of implementing help desks 30 mins Community Help Desk Guidelines (A) Contextualise CHD Guidelines 30 mins Lunch 60 mins Community Help Desk Guidelines (B) Contextualise CHD Guidelines 60 mins Resources Identify resources and systems required for 30 mins effective operation of help desks Tea Break 15 mins Option 1: Information provision Option 2: Parking Lot Identify information provision requirements for effective operation of community help desks Address issues placed on the parking lot throughout the day 85 mins 4.40 Closure Review and next steps Evaluation 20 mins 5.00 Workshop end 93

99 CHD Contextualisation Workshop: Handout: Video Questions C Referring to the video and your own knowledge, please answer the following questions: 1. What is humanitarian accountability? 2. Name two humanitarian accountability benchmarks. 3. List two characteristics of a good complaints system. 4. List three benefits of receiving and responding to complaints. 5. Why are we talking about humanitarian accountability and complaints when this is workshop about help desks? 6. What policies does World Vision have that covers Complaint and Response Mechanisms? 94

100 CHD Contextualisation Workshop: Handout: Evaluation Form Community Help Desk Workshop Evaluation Form C Congratulations! You have just completed a workshop helping World Vision to contextualise community help desks for <COUNTRY>. To help us improve, we would be grateful if you could complete this evaluation form. Please circle the number that best describes your response. 1) Did this workshop meet your expectations? No, not at all Yes, very much 2) Has this workshop increased your understanding of community help desks? No, not at all Yes, very much 3) Was the content covered relevant to your work (directly or indirectly)? No, not at all Yes, very much 4) Did the workshop meet its key objective that 'Community Help Desk Guidelines will be appropriate for the context in which you are operating No, not at all Yes, very much Please explain your response: 5) What session(s) did you enjoy the most? 6) What session(s) did you enjoy the least? 95

101 CHD Contextualisation Workshop: Handout: Video Questions C 7) Please list three things you learned in this workshop a) b) c) 8) How would you improve the workshop?? 9) Would you recommend this type of workshop to your colleagues? No, not at all Yes, very much 10) Please share any other comments regarding the workshop (facilitators, venue, etc) 96

102 CHD Contextualisation Workshop: Handout: Video Questions Suggestion Box Contextualisation Session Plan By the end of the session, you will have the information to contextualise the Suggestion Box Guidelines to the communities in which they will be implemented. C Time: 60 minutes Note: the type of participants will determine how well the workshop is contextualised. It is recommended that you include program managers, field staff and community members. Preparation: Take the Suggestion Box Guidelines and remove all the subheadings and the references in orange, to create the handout Draft Suggestion Box Guidelines. Time Activity Trainer s notes Resources 5 Introduction The level of detail you go in to will depend on how much work has been covered about Suggestion Boxes in earlier sessions with the same participants. Omit any topics you have covered: 1. Introduce the session, its objectives and why this is being done. 2. Ask participants if they have used suggestion boxes or similar before. Ask someone to share their story. 3. Ask someone to define suggestion boxes so that the group has a common understanding. 4. Explain why the guidelines are important. 10 Individual reading Handout Suggestion Box Guidelines without the prompts. Explain that you will be taking these and making them appropriate to the communities you work in. 20 Group work Divide participants in to 3 groups. Allocate them different questions to answer which will help. Ask them to prepare for a presentation, they can use flip charts if they wish. Flip chart with session title and objectives Handout: Draft Suggestion Box Guidelines (ref: Preparation above) Handout: questions to contextualise SB Flip charts 20 Group presentation Ask each of the groups to present their questions and responses. Allow time for the rest of the group to challenge the decisions made by that group, and aim to come to a decision for each of the questions. 5 Conclusion Recap the main points of the session and explain how the information gathered from this session will be used. 97

103 SB Contextualisation Session: Handout: Questions C Group 1 Draft Suggestion Box Guidelines What is a suggestion box? Based on your context, what would be the most appropriate name for suggestions box in your country Why have a suggestion box? In your national office, who will be responsible for ensuring that stakeholders are sufficiently informed about the suggestion boxes? What is the role of World Vision in relation to the Suggestion Boxes? What is the function of the suggestion box form? Who should have access to the suggestion box keys? Who documents information received from the suggestion box? Group What are the benefits of suggestion boxes? Who is the suggestion box for? What can people put in the suggestion box? In your office, who will be responsible for documenting responses to non-sensitive complaints? Who is responsible for ensuring complaints are appropriately responded to within the stipulated timeframe? Who needs to know what about the suggestion box and how to tell them? Where is it appropriate to use suggestion boxes? When using suggestion boxes, what do you need to do to get sufficient information What must you consider when deciding who should open suggestion boxes? Group Does your program have the capacity to deal with issues unrelated to world vision? If not do you feel your national office will be able to build that capacity? When is it appropriate to use suggestion boxes? In your national office, who will be responsible to receive non-sensitive complaints? In your national office, who will be responsible to receive sensitive complaints? What happens to the complaints after they are documented? Suggestion boxes could be mobile or fixed. How do you understand the difference between the two? What do you need to consider when choosing mobile suggestion box? Based on this text, why is it important to consult the community on the choice of fixed or mobile suggestion boxes? 98

104 CRM Support and Resources d CRM Support and Resources Community Help DeskResource Kit Community Help Desk Register Option A Community Help Desk Register Option B Community Help Desk Receipt Template Suggestion Box Form Community Help Desk Training o Training of Trainers Agenda o Training of Trainers Session Plans o Training of Trainers Handouts and Presentation o 1 Day Training for Staff and Communities Agenda o 1 Day Training for Staff and Communities Session Plans o 1 Day Training Handouts

105 CHD Resource Kit Community Help Desk Resource Kit D Here is a list of resources that would ideally be provided to a Community Help Desk Committee, either by World Vision, or sourced from the community itself. The list of information materials is a minimum the more information that can be provided the better. Keep in mind that the more professional the Help Desk appears, the more respect it may get from communities in some contexts. Help Desk Kit The numbers are given for a district office with a maximum of one distribution (and therefore one help desk in operation) daily. Multiply by the number of maximum daily distributions. Number Item 1 Table (can be mobile if taken from the office eg picnic/camping table) 4 Chairs (depending on the number of Help Desk members) 1 CRM Register 1 Receipt book (if the Register does not function as a receipt to the complainant) 1 Mobile notice board for information provision 1 Ruler 2 Blue pens 2 Black pens 1 Red pen 1 Box file to file copies of complaints (if required) 4 Name tags (one for each Help Desk member) 4 Hats or vests (one for each Help Desk member) 1 Community Help Desk Guidelines 1 Suggestion Box 1 Suggestion Box Guidelines 1 Set of Suggestion Box Forms (if required) 1 Flyer about World Vision 1 Flyer about the program 1 Flyer about World Vision in the district and other organizations for referrals Contact details for complaining to the District Coordinator directly, as well as a 1 contact for sensitive complaints 1 National Office/HEA CRM Policy 1 FPMG CRM Policy 100

106 CHD Register Option A SECTION THREE Signature of Complainant Signature of WV Resolution in detail Help Desk Team Leader Signature: Field Monitor Signature: Field Offi cer Signature: D CRM Register (per day) Date: Complaint Number Title Full Name Village Complaint in detail Complaint Code Date Resolution Due Signature of Complainant Date Resolved Comments from Help Desk Committee: Field Monitor s observations/comments: Field Offi cer s comments and action to be taken: 101

107 CHD Register Option B D (Comments in orange are for instructions, not to be written on actual document) (Cover page) Complaint And Response Mechanism Register Food Distribution Point: Ward: district: Register Number: date of opening this register: date of closing this register: Management Review 102

108 CHD Register Option B To be completed by the District Coordinator or the Program Coordinator. Name of manager: Review 1 D Date of review: Signature: Comments: Review 2 Date of review: Signature: Comments: Review 3 Date of review: Signature: Comments: Re-write or delete as appropriate. Making a Complaint, Giving Feedback or Suggestions to 103

109 CHD Register Option B World Vision D World Vision personnel are expected to conduct themselves in a manner that reflects honesty and integrity, ant that maintains the effectiveness, values and mission of the organization. WV Partnership Code of Conduct. World Vision Zimbabwe encourages all our stakeholders to let us know of any feedback, suggestion or complaint you might have about our programs, our commitments or staff conduct. It is the right of all of our stakeholders to make a complaint. At food distributions, you can do this through the Help Desk. Help Desks are designed for this purpose. The Help Desk members will write down your complaint, feedback or suggestion, and give you a receipt. Alternatively, you can fill a form and submit into the Suggestion Box. You can put complaints and feedback as well as suggestions in to the Suggestion Box. The suggestion box is more confidential, and will only be opened by (name and position). You can also talk to any World Vision staff member when you see them. You are welcome to visit, send a letter to the district office [INSERT ADDRESS], or phone the District Coordinator on [INSERT PHONE NUMBER]. If your complaint involves people in the district, you can choose to contact the [INSERT POSITION TITLE], a national level position, at the [INSERT OFFICE LOCATION] on [INSERT CONTACT DETAILS]. Finally, for complaints relating to misconduct or illegal activities only by World Vision management, staff, board members or contractors, and you do not feel comfortable contacting any of the above, you can contact World Vision s international Integrity and Risk Reporting Hotline. It is based in the UK, and guarantees confidentiality. Phone (you can call collect/reverse the charges) or [email protected]. All complaints will receive a response by [INSERT TIMEFRAME]. Please note that while anonymous complaints will be received, investigations are difficult without being able to contact the person who made the complaint. If you are not comfortable raising a complaint at the help desk, please consider the other confidential options listed above. Repeat this page 50 times, each with carbon copy The copy should be able to be torn off in 2 pieces: a top half and a bottom half (per dotted line below) Complaint code Date received Complainant details: Name: Address: 104

110 CHD Register Option B Village: Phone number (if applicable) Feedback or complaint in detail (please annex additional paper as required): D Date resolution due: at Location: Signed: Complainant: Help Desk Team Leader: World Vision Staff member responsible: Resolution in detail (please annex additional paper as required): Date communicated to complainant: Was/will an appeal be made? Complainant Signed: Name: World Vision Monitor Signed: Name: If an appeal was made, annex additional paper explaining process of the appeal and outcome before closing the file. File Closed: Date: Field Officer Signature: 105

111 CHD Receipt Template Community Help Desk Receipt of Feedback or Complaint Received D Received from: Complaint Description: Date: Response due (date): Name of HD member: Signature of HD member: Community Help Desk Receipt of Feedback or Complaint Received Received from: Complaint Description: Date: Response due (date): Name of HD member: Signature of HD member: Community Help Desk Receipt of Feedback or Complaint Received Received from: Complaint Description: Date: Response due (date): Name of HD member: Signature of HD member: 106

112 SB Form Suggestion Box Form Use this form and place in the Suggestion Box if you wish to make a suggestion, give feedback, or make a complaint related to World Vision s commitments, program or staff conduct. D Date: Full name: (optional) Program or person which the suggestion, feedback or complaint is related to: Your Complaint: (Include as much detail as you can. Please write on the back of this paper if you would like to include more detail.) Would you like a response? If yes please provide your contact details. You can choose to remain anonymous but it may limit our ability to investigate. Full Name: Contact Details: Village : Signature of complainant (optional) If your suggestion, feedback or complaint requires a response, and you have provided clear contact details, we will get back to you within four weeks of receiving this form. If there is a distribution within the next month, we will most likely contact you then. 107

113 CHD ToT Agenda D COMMUNITY HELP DESK TRAINING OF TRAINERS AGENDA <DATE><LOCATION> DATE/ TIME DAY 1: <DATE> DAY 2: <DATE> DAY 3: <DATE> DAY 4: <DATE> Registration and Devotions Registration and Devotions Practicum Registration and Devotions Introduction Introduction Introduction Welcome and introduction Morning session Practicum debrief (small groups) About WV and the program Responding to complaints Introduction to humanitarian accountability and help desks Morning tea break Morning tea break Morning tea break Morning tea break Practicum debrief (plenary) About help desks Responding to complaints ctd Introduction to HD workshop for community members Next steps & issues Functions of help desks Evaluation, questions and close About WV and the program Evaluation and close Responsibilities: help desk members and WV staff About help desks What staff need to know Functions of help desks Lunch Lunch Lunch Lunch and workshop close Recording complaints and feedback 2.00 to 3.00 Facilitation skills: adult learning Afternoon session Functions of help desks ctd Responding to complaints 3.00 to 3.30 Facilitation skills: characteristics of a good trainer Responsibilities: help desk members and WV staff Afternoon tea break Afternoon tea break Afternoon tea break Responding to complaints ctd Preparation for the practicum Recording complaints and feedback Responding to complaints Evaluation, questions and close Evaluation and close Evaluation and close 5.00 Workshop close Workshop close Workshop close 108

114 CHD ToT Workshop: Session Plans Workshop Objectives By the end of the Help Desk Training of Trainers, participants will be confident in training staff and community members on community help desks to FPMG standard. Staff will have a comprehensive knowledge of how help desks operate, and will be able to implement new systems, resources and procedures. A select group of staff and community members will have undergone the 1 day CHD training. D Session 1: Introduction Purpose: Welcome participants to the workshop Establish a common understanding for what the workshop will achieve and how the workshop will be run Time: 30 minutes Note: How a workshop starts sets the tone for the rest of the day. Try to be lively, involved, and encourage participation from the trainees. If you can think of a creative way to start the day, give it a go! Time Activity Trainer s notes Resources 10 Introduction Welcome participants Ask for introductions trainers start first Ask participants to introduce themselves - Name, role and experience with help desks and training - Write names on name tags Flip chart: - Welcome! Community Help Desk Training of Trainers Workshop. World Vision. Suggestion for introduction exercise 1 : Ask participants to line up in the order of how far they travelled to the venue, having those who came from furthest a field at the front of the line and those who came the least distance at the back of the line. After they have finished the forming the line they can either remain standing and give their name, role and experience of help desks and training, or you can ask them to sit back down again and do the same. 15 Expectations and Ground Rules 2 Distribute cards or post-its to each participant. Powerpoint or flip chart with objectives of the workshop refer Introduction to 109

115 CHD ToT Workshop: Session Plans D Ask participants to write an expectation on one card and a ground rule on the other. Circulate with a container (such as a box or a hat) clearly labelled expectations and another container clearly labelled ground rules. Take each card and write it on the flip chart. A co-trainer can help with this. Do not write repeat ideas on the flip chart. Show slide: Objectives (PowerPoint or pre flip). Compare the expectations with the objectives for the workshop. Explain clearly if expectations are unrealistic or outside the remit of the workshop. Establish that everyone agrees with the ground rules. As part of active participation (normally comes up as part of group rules), ask for volunteers to (a) review the training at the end of the day, (b) lead energisers and (c) act as timekeeper, making sure participants return from breaks on time. Tell participants where the toilets are, any health and safety considerations, and when and where breaks will be. 2 cards or post-its for each participant. 2 labelled containers for collecting expectations and ground rules. 5 Agenda and conclusion Hand out the agenda to each participant. Read together in group. Explain that they will receive a training starting after the break, that they will need to replicate with community members later this week. It will go in to significant detail about help desks, then we will review additional thing staff need to know about help desks before the practicum. Ask if there are any questions? Welcome participants again to the workshop and introduce the next facilitator and their session. Handout: agenda (one for each participant) 1 Good Enough Guide Training Module, Draft Version 3 2 Good Enough Guide Training Module, Draft Version 3 110

116 CHD ToT Workshop: Session Plans Session 2: Introduction to Humanitarian Accountability and Help Desks Purpose: participants will understand accountability, complaints and HD D Time: 60 minutes Time Activity Trainer s notes Resources 5 Introduction Flip chart: - Session and purpose 25 25' Introduction to Humanitarian Accountability Powerpoint Presentation (10 ) Introduce Humanitarian Accountability using the powerpoint presentation. Give time throughout and at the end for any questions. Ask the group why are we talking about humanitarian accountability when this workshop is about help desks? Group work Ask participants to split in to groups of 4-5. Come up with examples that they know of in their work that demonstrate each of the sections of accountability: information provision, information gathering and complaints, consultation, participation. 5 minutes. Ask each group to volunteer an example from one of the 4 quadrants of accountability. Try to get one example from each of the quadrants. Finish by asking which quadrant of accountability would help desks fit in to? About Help Desks Video Let s have a close look at help desks and how we might implement them. I will be asking questions at the end of the video. The questions are (read from the flip chart). Feel free to take notes if you like. Powerpoint Presentation Introduction to Humanitarian Accountability Data projector & screen Video: Community Help Desks Write questions on the flip chart to answer at the end of the video: 111

117 CHD ToT Workshop: Session Plans D Once the video has finished, first ask if anyone has any questions (unrelated to those on the flip chart). Facilitate discussion based on questions about the video. Following question 6, explain why help desks are being used in this context, if any assessment has taken place. Explain any other work that has been done to date in <COUNTRY> to do with help desks What are help desks? What are the steps for implementing help desks? What are the benefits of help desks? What are the disadvantages of help desks? (can t use for sensitive complaints) Who is the man at the start of the video and what is his message? Why do we use help desks here? 5 ConclusionQuestions? Model the Community Help Desk 1 Day Training Your task now is to model the Community Help Desk 1 Day Training. This is denoted by the peach colour in the agenda. The session plans for the Community Help Desk 1 Day Training are included separately in the Resource Guide. Refer to those session plans for instructions. Train the participants primarily as if they were in role as community members or staff completing the 1 day training. All remaining sessions in the agenda coloured white have session plans in this section of the Resource Guide. In the introduction when you begin modelling the CHD 1 Day Training, you will need to explain a few things to the participants: 1. Their role now is that of a staff person or community member attending the Community Help Desk 1 Day Training for the first time. They will be required to deliver this training on Day Not much more will be explained about Help Desks at this point because they will learn quite a bit as participants of the 1 Day Training. You will cover more information that they will need to know on CHDs at the end of the 1 Day Training. 3. They will receive the session plans, and all the handouts to implement the training as you conduct it over the next two days. They don t need to worry about taking notes of the training delivery. They will be training in groups, so theyyou won t be required to run every session, perhaps just one or two depending on the size of the groups. 112

118 CHD ToT Workshop: Session Plans Session: Evaluation (Day 1 and 2) Purpose: receive feedback on the day in order to improve, and orientate participants as to what has been covered, and what will be covered the next day. Time: 15 minutes D Time Activity Trainer s notes Resources 2 Introduction Outline session objectives and structure. 3 Review Ask the participant who volunteered earlier to review what was covered throughout the day. 4 Plans for tomorrow Refer to agenda and briefly outline what will be covered the next day. Outstanding questions and issues Ask if there are any outstanding questions and issues. If they are quick to answer, provide a response immediately. If they will require discussion or a longer response, park the question/issue and return to it the next day, either individually, in the introduction or at another appropriate moment. 5 Evaluation There are a number of ways you are able to get feedback on the day, depending on the openness of the group. It s good to mix up the methods to keep it more interesting, and appeal to different preferences in the group. Remind the group of the objectives of the training. Option 1: Ask the group what went well today? You can prompt with topics eg facilitation, achievement of objectives, facilities. Ask the group what didn t go so well, what would you like changed? Again, you can prompt with topics. 113

119 CHD ToT Workshop: Session Plans D Option 1: eg facilitation, achievement of objectives, facilities. Ask the group what didn t go so well, what would you like changed? Again, you can prompt with topics. Document on flip chart. Option 2: Divide in to groups of 4-6 and ask them to take 5 minutes to discuss what went well and what didn t go so well that they would like changed. After the workshop closes, ask one representative from each group to represent the group to the facilitator, who then documents the responses. Option 3: Hand out sticky notes to participants in 2 different colours. Ask them to write what went well on one colour, and what didn t go so well that they would like changed on another colour, and to stick on the wall on the way out. 1 Close Thank participants for their efforts and remind them of starting times for tomorrow. 114

120 CHD ToT Workshop: Session Plans Session: Introduction Day 2 & 4 Purpose: Orient participants to the day. Time: 15 minutes D Time Activity Trainer s notes Resources 3 Introduction and welcome Welcome participants back for the day. Ask questions of the group (eg how they are, did they rest well) to create a relaxed, friendly, interactive atmosphere. 3 Where we are up to and where we are going Briefly list what part of the agenda you are up to, and review the plans for the day. 3 Review evaluation Present the results of the evaluation, and what changes will be made as a result. Refer to agenda and briefly outline what will be covered the next day. 3 Housekeeping As part of active participation, ask for volunteers to (a) review the training at the end of the day, (b) lead energisers and (c) act as timekeeper, making sure participants return from breaks on time. Remind participants where the toilets are, any health and safety considerations, and when and where breaks will be 3 Close Introduce the next session. 115

121 CHD ToT Workshop: Session Plans Session: What staff need to know D Purpose: participants will have a clear understanding of their roles, responsibilities and tasks as staff in relation to help desks Time: 75 minutes Note: this session is designed to address any additional topics that staff need to know, that have not been addressed in the one-day workshop. You may wish to alter this session, depending on what other training you have conducted with staff, and what your priorities are. Time Activity Trainer s notes Resources 5 Introduction 10 What we do and don t know about help desks Flip chart Let s start by reviewing what we already know. Ask the group to list what they know about help desks and how it operates. So we know a lot now about what we have to do for a with the help desk. What about away from the help desk? Now let s list what we don t know. What else do we need to know as staff to operate help desks? Document on a flip chart. Check the following is included: what to do with a complaint that can t be solved immediately, reporting, data collation, analysis. Depending on the outcome of this activity, you may need to adjust the session to cover the topics the group would like to know more about. Other sessions later that day, or on the final day of the training, could potentially be altered for this purpose. It may also highlight the need for further training at a later stage if there are significant gaps. 116

122 CHD ToT Workshop: Session Plans 20 What to do with a complaint. Divide in to 6 groups. Allocate each group a complaint. Ask the group not to solve the complaint, but to explain the steps they would take to resolve it. We are being explicit the process that WV staff follow to resolve different types of complaints. Give 3-5 minutes for group work. Ask each group to present. List the type of complaint (you could use the categories to the right), and the process staff are expected to take to resolve that type of complaint. Ask each group how they know that is what they are supposed to do with those complaints. It should all be in line with the CRM Policy for your country, and include activities such as documenting action plans, internal reporting lines and giving the response back to the complainant. It is very important that staff are clear on how to handle these different types of complaints. If the CRM Policy or other relevant policies are not the source of the responses and/or the responses are incorrect, there is a need on further training for how to handle complaints. Prepare 6 example complaints that are commonly found in your context. They should fit the following categories (a) Common and simple, solved on-site. Multiple complaints received on the same topic. (b) Common and simple, requires verification off-site. (c) Unusual and complex, requires investigation and advice from management. Serious incident, that is not (d) sensitive eg theft. (e) Serious incident that is sensitive eg sexual abuse by staff or community leader directly linked to food. (f) Serious incident that does not involve World Vision or the food program eg child abuse in the community. D Reporting, data collation and analysis What needs to happen in order for these complaints we receive at a field level to have any impact on our programming and the way we operate? Looking for responses to include serious incidents to be immediately reported, other complaints to be reported monthly, complaints to be collated and analysed according to certain criteria, reports to be read and acted upon by management. Present to the group how complaints are collated, analysed and reported in the organisation, and whose responsibility this is. Include any templates and examples in the presentation. Protection responsibilities Ask if anyone has heard of protection? If so, ask them to explain what it is. Show flip chart (1). Presentation: how complaints are collated analysed and reported in the organisation. Prepare flip charts with the 4 points listed below. 117

123 CHD ToT Workshop: Session Plans D Ask the group what our responsibilities are as World Vision staff? Show flip chart (2). What do we do if we suspect there might be protection issues? Show flip chart (3) and (4). (if we know there are protection issues, they must be reported to the appropriate person make sure you are explicit who that is). Explain who the contact people are in your organisation, and the processes for arranging an assessment. This is just a brief overview of protection. There are some additional important points we need to make sure you know about: - - Do you know what to do if you witness or hear of protection abuses occurring? (Ask for show of hands. If people know, ask them to explain to the group). Do you know how to refer to specialist legal, medical and psychosocial agencies? (Ask for show of hands. If people know, ask them to explain to the group). These are critical to operating responsibly. If there are no responses or the responses are uncertain or incorrect, it is important to arrange further training. More information can be found in the FPMG CRM Resource Guide. 1 Protection focuses on the safety and dignity of beneficiaries. The rights of beneficiaries to enjoy safety and dignity, and the responsibility of the State to uphold these rights are grounded in international law. Protection issues can be due to violence, coercion, or deliberate deprivation. 2 Minimum actions for World Vision in all programmes are 1) Do No Harm, 2) identify, analyse and respond to protection risks, and 3) ensure processes are in place for staff to respond appropriately to abuses that they witness or hear about during their work. 3 If there is any indication that people are exposed to risk before, during or after food distributions then a more detailed assessment of protection issues should be undertaken by protection staff. 4 ANY suspicion of Child Abuse by World Vision staff volunteer, contractor, consultant, donor, sponsor, visitor, partner or board member must be reported to WV CP: National Office Child Protection Focal Person, Regional Child Protection Coordinator,WVI Child Protection Associate Director (Phone ), or to WV Integrity and Risk Hotline: Phone ( ) or ([email protected]) Close Summarise what has been covered and future plans for more training if required. Use this opportunity to confirm knowledge/skill gaps and the capacity building people would like to have. 118

124 CHD ToT Workshop: Session Plans Session: Facilitation Skills - Adult Learning Purpose: Participants will be able to identify the characteristics of adult learners and principles of adult learning. Time: 60 minutes Acknowledgement: : This session plan is derived from Paula Thomson s RedR-IHE/CHA Training of Trainers held June 2006 in Colombo, Sri Lanka. (ref word doc). Note: the handouts for this section are all based on western concepts of learning and training. If these are not applicable in your context, you may choose not to give them as handouts and just use them as references for the trainers. D Time Activity Trainer s notes Resources 5 Introduction Flip chart: Session and purpose 25 Activity and discussion: Andragogy v Pedagogy First we re going to look at adult learners and how they learn differently from children. Most of us can easily recall our childhood experiences at school. For many it is a rewarding experience, for others it may bring back some bad memories of feelings of failure, humiliation and fear. How children learn at school and how adults learn is different. We re going to do an individual activity first, drawing pictures of our experiences learning both as children and as adults. Here are the instructions: (refer flip chart). Individual activity 10 minutes Small group discussion 5 minutes Plenary discussion. Let s bring together what we learned what are some of the characteristics of adult learners? list on flip charts. Which kind of learning is more useful for the kind of training you will be doing? Hand out resource sheets for future reference (if relevant to the context). Prepared flip chart (see below). Bond paper and pens for drawing. Handout: resource sheet comparing Andragogy and Pedagogy. Note, depending on the context you may not want to share this handout. Flip chart: Activity: take some paper and pens and in 10 minutes draw 1 picture each of the following 2 situations as you remember them: 1. How you learned as a pupil in primary school 2. How you learned as a participant in an enjoyable training as an adult No words are to be used. The quality of the art work is not important. Group discussion Form small groups and in 5 minutes share your thoughts in terms of: The learner s role Choice of content Teaching method The learning environment Motivation to learn 119

125 CHD ToT Workshop: Session Plans D 25 Activity We have been exploring how adults learn and some of the characteristics of adult learners. These can be used to identify some key principles for adult learning. Imagine that you have been asked to develop a set of key principles that a new trainer should apply when working with adults. In small groups use the list we developed about adult learners to form some key principles of adult learning. (Remaining instructions on flip chart) In plenary, ask groups to share tips for new trainers. Flip chart instructions: Imagine you have been asked to develop a set of key principles that a new trainer should apply when working with adults. 1. Return to your small group and use the list that we developed about adult learners to form some key principles of adult learning. 5 minutes 2. Compare your principles with those listed on the handout, keeping in mind they are designed for a Western context. 5 minutes 3. Brainstorm some tips that you would give the new trainer so that he/she could conduct training based on the principles. 5 minutes Handout: resource sheet Principles of Adult Learning only use if relevant to the context. If you have time, you could use the resource sheet as a basis for discussion what applies in this context, what does not apply in this context? 5 Conclusion 120

126 CHD ToT Workshop: Session Plans Session: Facilitation Skills - Characteristics of a good Trainer Purpose: Participants will be able to identify the characteristics of a good trainer D Time: 30 minutes Acknowledgement: This session plan is derived from Paula Thomson s RedR-IHE/CHA Training of Trainers held June 2006 in Colombo, Sri Lanka. Time Activity Trainer s notes Resources 5 Introduction Flip chart: - Session and purpose 20 Characteristics of a good trainer Research has shown that there is not much difference between good and great trainers in terms of technical skills. What does seem to make a difference however are a range of personal characteristics of trainers and how they are translated into classroom behaviours. Activity: reflect on a training/learning that you have participated in. This may be formal (classroom) learning or informal (at work, at home). Why was it a good experience and what role did the trainer play? Share your responses in a small group and as a group identify the top 6 characteristics of good trainers. Compare with the handout, highlighting that this handout is based on Western concepts and may not be entirely applicable. Whole group feedback and discussion as to what are the characteristics of a good trainer in this context. Handout: Resource Sheet 6 habits of highly effective trainers. Flip chart with instructions: Reflect on a training/learning that you have participated in. This may be formal (classroom) or informal (at work or home). Why was it a good experience and what role did the trainer play? Share your responses in a small group and identify the top 6 characteristics of good trainers. 5 Conclusion Remind participants that they will be using this list 121

127 CHD ToT Workshop: Session Plans Session: Preparation for the Practicum D Purpose: Participants are prepared for the practicum Time: 60 minutes Time Activity Trainer s notes Resources 5 Introduction 10 Instructions to prepare for the practicum Follow topics in the flip charts - Explain that it is a real training they are conducting, it needs to be professional - Describe who the participants will be, what program they are beneficiaries of. - Each group will be given a resource kit, we will give instructions on group tasks for this time, and form groups. - Read through resources kit, ask if there are any questions. - Read through group tasks. Allocate groups. As the groups will be training community members and/or staff on how to operate real help desks, it is important that at least one person in the group is familiar with the program that they help desk is serving. E.g. if the help desk is for a chronically ill feeding program, at least one of the trainers should know about the chronically ill feeding program. Resource Kit for each group (refer flip chart notes for details) Flip chart: 1. About the Practicum REAL training Participants Resources 2. Resources 2 sets of session plans 1 flip chart roll 4 markers 1 roll masking tape 20 pieces of paper 20 each handout including agenda and evaluation forms Registration form 20 notebooks and 20 pens 3. Group tasks (use 2 flip charts) A. Select a group leader B. Allocate each session to a person in your group to facilitate using the agenda C. Split session plans so that the person facilitating the session has their session plan D. Decide group roles eg timekeeper, person responsible for resources (may alternate), setting up, packing up, translator. 122

128 CHD ToT Workshop: Session Plans 40' Group work Ask the groups to find their own space and prepare for the practicum, following the group tasks. Display the group tasks on the flip chart. Conclusion E. F. G. H. Decide group rules eg what time to arrive, what will facilitators do when they are not facilitating, what to do when you want to interrupt someone facilitating? Discuss how you plan to use language. Logistics for arriving and departing the workshop. PREPARE: read your session D 5 Bring the group back together and check where each group is at. Ask if there are any issues/questions. Give any administration instructions for the next day. Session: Debrief (small groups) Purpose: Participants will learn through reflection improvements for future training. Time: 60 minutes Time Activity Trainer s notes Resources 5 Introduction 45 Group presentations and plenary Ask each group to present their overall debrief: what went well, what were they challenges and what changes they recommend? Full group debrief Presentation by 4 groups (5 minutes each). Summarise the feedback, particularly the similarities between the groups and learnings from groups in situations that may be repeated. Plenary discussion (20 ). Focus on what improvements need to be made overall. 5 Individual reflection Ask participants to return to their chairs and take five minutes to note down what their key learnings are from the practicum, and what they will do to ensure that this learning stays with them. 5 Conclusion 123

129 CHD ToT Workshop: Session Plans Session: Debrief (plenary) D Purpose: Participants will learn through reflection improvements for future training. Time: 60 minutes Time Activity Trainer s notes Resources 5 Introduction Taking some time out to think about how this will work in practice and address any gaps or issues we might have. Flip chart: - Session and purpose 25 Plenary: Issues Before we discuss how we will move forward, are there any outstanding issues that need to be addressed? - List the issues as they arise, and agree a plan for addressing each one. 25 Next steps Present any plans for moving forward with help desks, and ask for input from group. What support is required to make sure this happens? Ask participants to write down their own action plans. If relevant, collect for monitoring and follow up. You may like to provide action plan templates for this to each participant to facilitate this process. 5 Conclusion 124

130 CHD ToT Workshop: Session Plans Next Steps and Issues Purpose: Participants will engage in next steps for help desks in the organisation, and any outstanding issues are addressed. D Time: 60 minutes Time Activity Trainer s notes Resources 2 Introduction Outline session objectives and structure. Flip chart: - title of session - objectives 3 Admin check Ensure all work from the morning has been handed in. (flip charts, resource packs, action plans etc) 10 Review of day and future plans Ask participant who volunteered in the morning to summarise the day. Review where we have come from on Monday and where we are now. Congratulate group. Future plans. Summarise discussion in previous session. 10 Evaluation Ask participants to complete the workshop evaluation form. Handout: Evaluation forms (1 per person) 5 Certificates Thank participants for their hardwork. Remind them that this training is only as valuable as the trainings we conduct in the future. The focus now is on implementing what has been learned. 125

131 CHD ToT Workshop: Session Plans Session: Workshop Close D Purpose: Review achievements Next steps Evaluation Time: 60 minutes Time Activity Trainer s notes Resources 2 Introduction Outline session objectives and structure. Flip chart: - title of session - objectives 3 Admin check Ensure all work from the morning has been handed in. (flip charts, resource packs, action plans etc) 10 Review of day and future plans Ask participant who volunteered in the morning to summarise the day. Review where we have come from on Monday and where we are now. Congratulate group. Future plans. Summarise discussion in previous session. 10 Evaluation Ask participants to complete the workshop evaluation form. Handout: Evaluation forms (1 per person) 5 Certificates Thank participants for their hardwork. Remind them that this training is only as valuable as the trainings we conduct in the future. The focus now is on implementing what has been learned. 126

132 CHD ToT Powerpoint Power point presentation: Introduction to Humanitarian Accountability D 127

133 CHD ToT Powerpoint D 128

134 CHD ToT Powerpoint Resource Sheet: Andragogy and Pedagogy - source: Paula Thomson, RedR-IHE/CHA Training of Trainers, June 2006, Colombo, Sri Lanka D Learner s role Pedagogy (classroom) Follow instructions Passive reception Receive information Little responsibility for learning process Andragogy (adult, non-formal) Offer ideas based on experience Inter-dependent Active participation Responsible for learning process Motivation for Learning External: forces of society (family, religion, tradition) Learner does not see the immediate benefit From within oneself Learner sees immediate application Choice of content Teacher-controlled Learner has little or no choice Centred on life or workplace problems expressed by the learner Method focus Gain facts, information Sharing and building on knowledge and experiences 129

135 CHD ToT Handout: Princples of Adult Learning Resource Sheet: Principles of Adult Learning D - source: Paula Thomson, RedR-IHE/CHA Training of Trainers, June 2006, Colombo, Sri Lanka Adult Learning Occurs Best When It: Is self directed Adults can share responsibility for their own learning because they know their own needs Fills an immediate need Motivation to learn is highest when it meets the immediate needs of the learner Is participative Participation in the learning process is active not passive Is experiential The most effective learning is from shared experience: learners learn from each other, the trainer often learns from the learners Is reflective Maximum learning from a particular experience occurs when a person takes the time to reflect back upon it, draw conclusions, and derive tts for application to similar experiences in the future Provides feedback Effective learning provides feedback that is corrective but supportive Shows respect for the learner Mutual respect and trust between the trainer and the learner help the learning process Provides a safe atmosphere A cheerful, relaxed person learns more easily than one who is fearful, embarrassed or angry Occurs in a comfortable environment A person who is hungry, tired, cold, ill or otherwise physically uncomfortable cannot learn with maximum effectiveness 130

136 CHD ToT Handout: Six Habits of Highly Effective Trainers Resource Sheet: Six Habits of Highly Effective Trainers - source: Paula Thomson, RedR-IHE/CHA Training of Trainers, June 2006, Colombo, Sri Lanka Great trainers show the following personal attributes: D Responsiveness Enthusiasm and high energy a concern for the participants. establishing a rapport and using relaxed mannerisms in the training. show of optimism. Willing to go the extra mile. 3. Humour make the training fun for participants. Incorporate real life experiences Sincerity and honesty Flexibility Tolerance true interest in delivering the training to the best of their ability preparedness to throw out the script. do not take criticism as a personal attack. 131

137 CHD ToT Handout: Summary Evaluation Form Community Help Desk Training D Summary Evaluation Form Names of people in your group: Program: 1) Did this workshop meet your expectations? Circle average response: No, not at all Yes, very much 2) Has this workshop increased your understanding of Help Desks? Circle average response: No, not at all Yes, very much 3) Did the workshop meet its objectives to Participants will be able to confidently operate the help desks abiding by World Vision Help Desk Guidelines. Circle average response: No, not at all Yes, very much 4) What session(s) did you enjoy the most? List what participants say. Put a tally next to each response if more than one person had the same response: 5) What session(s) did you enjoy the least? List what participants say. Put a tally next to each response if more than one person had the same response: 132

138 CHD ToT Handout: Summary Evaluation Form 6) How would you improve the content of the workshop? List what participants say. Put a tally next to each response if more than one person had the same response: D 7) How would you improve the format of the workshop? List what participants say. Put a tally next to each response if more than one person had the same response: 8) How confident do you now feel in operating a Help Desk in line with the World Vision Help Desk Guidelines? Circle average response: No, not at all Very 9) Would you recommend this type of workshop to your colleagues? Circle average response: No, not at all Highly 10) Please share any other comments regarding the workshop (facilitators, venue, etc). List what participants say. Put a tally next to each response if more than one person had the same response: 133

139 CHD ToT Handout: Evaluation Form Community Help Desk Training D Evaluation Form Congratulations! You have just completed a training on Help Desks. To help us improve, we would be grateful if you could complete this evaluation form. 1) Did this workshop meet your expectations? No, not at all Yes, very much 2) Has this workshop increased your understanding of Help Desks? No, not at all Yes, very much 3) Did the workshop meet its objectives to Participants will be able to confidently operate the help desks abiding by World Vision Help Desk Guidelines No, not at all Yes, very much 4) What session(s) did you enjoy the most? 5) What session(s) did you enjoy the least? 6) How would you improve the content of the workshop?? 134

140 CHD ToT Handout: Evaluation Form 7) How would you improve the format of the workshop?? D 8) How confident do you now feel in operating a Help Desk in line with the World Vision Help Desk Guidelines? No, not at all Very 9) Would you recommend this type of workshop to your colleagues? No, not at all Highly 10) Please share any other comments regarding the workshop (facilitators, venue, etc) 135

141 CHD ToT Handout: Certificate D CERTIFICATE This certifies that <name> Completed a 3.5 day workshop <date> in <location> on Community Help Desk Training of Trainers Conducted by World Vision <COUNTRY> <NAME> <POSITION> 136

142 CHD 1 Day Training Agenda Community Help Desk Training <DATE> Agenda D Time Activity Purpose Duration 8.30 Arrivals and Devotion Registration of participants and Devotion 30 mins 9.00 Introduction Welcome participants to the workshop Establish a common understanding for what the workshop will achieve and how the workshop will be run 30 min 9.30 About WV and the program Provide information about World Vision and the program for participants to pass on to others 75 mins Tea break 15 mins About Help Desks Describe what help desks are, why they exist and when they are used. 30 mins Functions of Help Desks Responsibilities Review Help Desk Guidelines. 60 mins Clarify roles and responsibilities of help desk committee members and World Vision. 60 mins Lunch 60 mins Recording complaints Practice how to record complaints at the help desk. 30 mins Responding to complaints Understand what attitude is appropriate when responding to complaints. 30 mins Tea Break 15 mins Responding to complaints Understand the techniques that can be used to respond to complaints, and what to do with complaints. Practice responding to complaints. 75 mins 4.30 Closure Review and evaluation 30 mins 5.00 Workshop end 137

143 CHD 1 Day Training Session Plans Community Help Desk 1 Day Training D Participants will be able to confidently operate the help desks abiding by World Vision Help Desk Guidelines. Session 1: Introduction Purpose: Welcome participants to the workshop and introductions Overview of the workshop Set group rules Time: 30 minutes Note: How a workshop starts sets the tone for the rest of the day. Try to be lively, involved, and encourage participation from the trainees. If you can think of a creative way to start the day, give it a go! Time Activity Trainer s notes Resources 10 Introduction Welcome participants Ask for introductions trainers start first Ask participants to introduce themselves - Name, role and experience with help desks and training - Write names on name tags Flip chart: - Welcome! Community Help Desk Training. World Vision. Suggestion for introduction exercise 1 : Ask participants to line up in the order of how far they travelled to the venue, having those who came from furthest a field at the front of the line and those who came the least distance at the back of the line. After they have finished the forming the line they can either remain standing and give their name, role and experience of help desks and training, or you can ask them to sit back down again and do the same. 138

144 CHD 1 Day Training Session Plans 15 Expectations and Ground Rules Split the room in to two. Ask half the participants to spend a couple of minutes discussing with their neighbor what they expect from this workshop. Ask the other half of the room to discuss what kind of ground rules they think there should be for the workshop. When the time is finished, ask volunteers to share their expectations and document on a flip chart. Ask if anyone would like to add anything? Next, compare expectations to the objectives for the workshop (written on a prepared flip chart). Explain clearly if expectations are unrealistic or outside the remit of the workshop. Ask volunteers to share their ground rules for the workshop and document on a flip chart. Ask if anyone would like to add anything? Establish that everyone agrees with the ground rules. As part of active participation (normally comes up as part of group rules), ask for volunteers to (a) review the training at the end of the day, (b) lead energisers for the group and (c) act as timekeeper, making sure participants return from breaks on time. Powerpoint or flip chart with objectives of the workshop refer Introduction to Contextualisation Workshop. Prepared Flip Chart: Objectives: Participants will be able to confidently operate the help desks abiding by World Vision Help Desk Guidelines. D Tell participants where the toilets are, any health and safety considerations, and when and where breaks will be. 5 Agenda and conclusion Hand out the agenda to each participant. Read the agenda to the group. If literacy levels are low, you may just put the agenda on the flip chart without handing out individual copies. Ask if there are any questions? Welcome participants again to the workshop and introduce the next facilitator and their session. Handout: agenda (one for each participant) 1 Good Enough Guide Training Module, Draft Version 3 139

145 CHD 1 Day Training Session Plans Session 2: About World Vision and the Program D Purpose: Participants will be able to explain accurately to community members about World Vision and the program. Time: 45 minutes Note: this session assumes that there is one main program that the help desk will be servicing. Where there are multiple programs, the format of this session may need to change. If there are only 2-3 programs, you could follow the same format, splitting the group in to 3-4 (depending on the number of programs + 1 group to discuss World Vision), and continue with per the session plan. For more programs, you could do a very brief (2-3 mins) presentation on World Vision and each program instead of the group work, with an opportunity to ask questions. Presentations will also be more relevant for illiterate groups. Time Activity Trainer s notes Resources 5 15 Introduction Outline the purpose of the session (above). Explain that to be a good help desk committee member they will need to be able to explain accurately about World Vision and the program to members of the community. We want to share this information with them in this session. Ask if participants feel they know enough about World Vision and the program? or ask what do you know about World Vision? Would you like to know more? Activity When providing information to the community, we have to make sure it is accurate. The way we do this is by only providing information that we have in a written form from World Vision. I m going to give half the group information about World Vision. I will give the other half information about the program. I would like the each group to get together and somebody in the group to read the information to the rest of the group. You can ask a World Vision person to do this if you prefer. Make sure everybody understands. Ask World Vision any questions you might have. You have 10 minutes to do this. Flip chart: - title of session - objectives Handout: program brochure (1 per participant) Handout: WV brochure (1 per participant) 140

146 CHD 1 Day Training Session Plans At the end of the 10 minutes, I will ask for volunteers from each group to explain to the other group. You will need to answer their questions if they have any, so make sure you clarify anything you are unsure of with World Vision staff. D If a group finishes early, you may like to encourage them to think of a creative way to present the information to the other group. 20 Presentation Now, I would like 1 or 2 volunteers from each group to explain to the other group about what they have learned. Could the group that learned about WV go first? You might like to position it like a role play, and, pretending to be a community member say eesh, I don t know who these World Vision people are, they only told us their names, can you tell me about them? Check the understanding from the listeners before moving on to a presentation from the second group about the program. Check for understanding from the listeners. Provide the rest of the handouts to the group (ie if they got the WV handout, provide the program handout, if they had the program handout, provide the WV handout). 5 Conclusion Refer original flip chart Review objectives. Do participants feel more confident in explaining World Vision and the program to others in the community? 141

147 CHD 1 Day Training Session Plans Session 3: About Help Desks D Purpose: Participants are able to describe what help desks are, why they exist and when they are used. Time: 30 minutes Note: In preparation, take your copy of the guidelines and highlight the important sections of (1), (2), (3) and (4). Time Activity Trainer s notes Resources 5 Introduction Outline session objectives and structure Flip chart: - title of session - objectives Activity In this session we are going to talk about what help desks are, why they exist and when they are used. I would first like to see how best we can answer these questions as a group, and then we re going to check against what World Vision says, ok? I d first of all like you to take 5 minutes in pairs to discuss these questions, jot down some notes if you would like. Revert to plenary. Ask the group what are help desks? Document on the flip chart. Next, why do we have flip charts? Document on the flip chart. Finally, when are help desks used? Document on the flip chart. Option 2: If you have access to a data projector and screen for the sessions with community members, you may like to show the Community Help Desk Video, and ask the same questions at the end of the video. lenary discussion What I have here in my hands is a copy of the World Vision Guidelines for Help Desks. We are going to give each of you a copy after morning tea. For the moment, I m just going to read out the relevant sections and we re going to compare with what we came up with ok? Flip chart with 3 questions: what are help desks? Why have a help desk? When are help desks used? Flip chart for documentation. 142

148 CHD 1 Day Training Session Plans Read section (2). How does that compare with what we wrote? Read section (3). How does that compare with what we wrote? Read section (4). How does that compare with what we wrote? Flip chart for documentation. D 5 Conclusion Are we clear now on what help desks are and why we have them? Excellent. You ll be given your own copy of the guidelines in the next session. Session 4: Functions of a Help Desk Purpose: Help desk members understand clearly the functions of a help desk and feel confident in operating the help desk according to the guidelines Time: 1 hour Notes: You need to know that there is at least one literate person in each group. This may be too sensitive a question to ask publicly. Plan in advance to ask community members confidentially at the break before the session.and (4). Time Activity Trainer s notes Resources 5 15 Introduction During this session we re going to introduce you to the World Vision Help Desk Guidelines. You ve already worked through the first section in the last session. During this session, we re going to look at the parts of the guidelines related to how a help desk functions. Group work Before going in to the group work, explain that the guidelines were developed based on feedback and complaints mechanisms from other countries and also the private sector. Explain how it was contextualised for your country eg it was then reviewed in a workshop attended by both World Vision staff, community leaders and Help Desk Committee members. Flip chart: - title of session - objectives Handout: guidelines (1 per participant) Flip chart: write the groups and their allocations to work on. 143

149 CHD 1 Day Training Session Plans D We will split into four groups. Each group will be allocated a section of the help desk guidelines. You will have 10 minutes to read the guidelines and to figure out how to explain to the rest of the group. It s important that you understand the sections clearly. Ask any questions you have to make sure you will be able to explain clearly to the group. Split the group in to 4 groups. Hand out guidelines. Allocate sections to each group. Group 1: section 5. Group 2: section 6, 7 & 8. Group 3: sections 9, 10 & 11. Group 4: sections 12 & Plenary Each group explains their section to the others. After each group presents ask if there are any challenges for implementation and how we will overcome this? 5 Refer back to objectives. Any questions? Session 5: Responsibilities of Help Desk Committee Members and World Vision Purpose: Participants are aware of their responsibilities as help desk committee members and agree to operate accordingly. They are also clear about what they can expect World Vision to do, and who to complain to if it is not done. Time: 45 minutes Notes: Once again, you will need to know who is literate in the group. Plan in advance to ask community members confidentially at the break before the session. Time Activity Trainer s notes Resources 5 Introduction Outline session objectives and structure. World Vision takes responsibility very seriously. Its important that we all know what our responsibilities are so that we can live up to them. In this session we will speak about your responsibilities, and World Vision s responsibilities. Flip chart: - title of session - objectives 144

150 CHD 1 Day Training Session Plans 10 Confidentiality exercise Refer to instructions on the handout. 20 Plenary: Help Desk Member Responsibilities The format of this session is that of a full group discussion. If there is space, we recommend that you move the group to a different area, and ask everyone to sit around in a circle. This change of environment can help add energy and increase focus for the session. If there are people in the group who are literate, ask for a volunteer to read out the first point. Discuss this ask if someone can explain it using different words (if read in English, can someone explain in vernacular). Does anyone have any problems having that responsibility? Does anyone foresee any challenges? If so, discuss as a group. Ensure the group agrees that they will take on that responsibility before moving on to the next point. Repeat for all 9 points. Ask the group what happens if the help desk members do not abide by their responsibilities? Refer Section 5: terms for dismissal. Handout: confidentiality exercise (3 copies, 1 for facilitator and each speaking volunteer) Refer to guidelines handout. D 20 Group work: World Vision Responsibilities Split into small groups of about 3-4 depending on the number of literate people in the group. Ensure there is one literate person per group, without asking publicly (this could be sensitive). Allocate the group 10 minutes to read through. Ask them to note anything they don t understand, or any questions that they have. When this time is over, ask to report back with any questions or clarifications. Discuss as a group. If World Vision doesn t live up to its responsibilities, the Help Desk Members are welcome to contact <NAME>, <POSITION>, <CONTACT DETAILS>. 5 Conclusion Is everybody now clear on what their responsibilities are in relation to the help desk, and what they can expect from World Vision? Flip chart: contact details of person to contact if WV doesn t live up to its responsibilities. 145

151 CHD 1 Day Training Session Plans Session 6: Recording Complaints D Purpose: Participants are able to record all complaints using the complaints register. Time: 30 minutes Time Activity Trainer s notes Resources 5 Introduction Outline session objectives and structure. It s now practice time! We ve gone through all of the guidelines, for the rest of the day we re going to look at the practical side of help desks. As the last session before lunch, we re going to practice how to record a complaint in a new format. Flip chart: - title of session - objectives Plenary First, ask the group what complaints or feedback do we record? (correct answer is all complaints or feedback that come to the help desk, that are mandated to be addressed by the help desk ie anything related to WV, the program, staff, partners) Display the headings. Read through and explain each one briefly. Ask the group to come up with a standard complaint. Fill it in as an example with the whole group. While this is happening, pass around the example complaints register so people can see what it should look like. Individual work Hand out the complaints register format. Ask for another example of a complaint. Now each person fills out individually based on the example given. If they want to, they can ask their neighbours for help. Give about 5 minutes. Flip chart drawn up like the complaints register 1 complaints register to show what it looks like. Handouts: complaints register format (1 per participant). This is the format of one page of the complaints register, printed on normal paper. 146

152 CHD 1 Day Training Session Plans When everyone is finished, ask people to write their name on their paper and swap with someone else in the room. As a group, discuss how this should be filled out correctly. Mark the sheets and give feedback to the person who completed it. D Answer any questions. Encourage anyone who is still unsure of anything to ask now or to see you at the break if they prefer. It is very important all the help desk members are clear on how to do this properly. 5 Conclusion Session 7: Recording Complaints Purpose: Participants are confident that they will be able to respond to complaints in an appropriate manner abiding by Help Desk Guidelines Time: 1 hour 45 minutes with break at 30 minutes. Notes: In preparation, ask either your co-facilitator or one of your participants to be in a 3 minute role play during your session. Explain that they will be a help desk member with a bad attitude, and you would like them to be disrespectful, dismissive, ignore the complainant, defensive, then blame them for their problem. Time Activity Trainer s notes Resources 5 Introduction - Introduce the title of session and objectives. Refer participants to the guidelines. What do the guidelines say about responding to complaints? (Section 11). Flip chart: - title of session - objectives Is everybody clear on that? We must give a response at the latest by <TIME FRAME>. But how do we handle feedback and complaints at the time they occur? In this session, we re going to look at three main aspects for responding to complaints: attitude when we listen to and respond to complaints techniques to deal with feedback and complaints what to do with different complaints what can we respond to immediately? What do we refer? Who do we refer to etc. 147

153 CHD 1 Day Training Session Plans D After we ve discussed each of these, we re going to practice, including the documentation. Any questions? 25 Plenary discussion: Attitude Ask for a volunteer to role play be a community member complaining to the help desk. Call your previously-prepared volunteer to be the Help Desk member. Ask the volunteers to begin their role play for about 3 minutes. When it is finished. Ask the audience what just happened there? What kind of attitude was the Help Desk Member displaying? Make sure the audience knows the person was told to act with a bad attitude so they don t think that s how that person is! Ask the volunteer complainant how that made them feel. Ask the audience again: Is that what we want? Is this acceptable? Then ask what kind of attitude should we display and how? (looking for respect, remain positive, take ownership of the particular problem or issue, empathy) Write list on flip charts. Encourage participants to take notes. Respecting people s dignity is most important. How do we make sure we respect the dignity of community members when we think they are behaving inappropriately? Write list on flip charts. Check are we all clear on the type of attitude required to effectively receive and respond to complaints and feedback as Help Desk members? Good let s move on to Techniques. We re going to take a break now. When we come back, we will discuss techniques Flip chart: record responses 148

154 CHD 1 Day Training Session Plans 20 Plenary discussion: Techniques Flip chart with steps written up We have a 10 step process for successfully responding to complaints. Read and explain each step: 1. Welcome the person to the Help Desk. 2. Listen to their feedback/complaint. 3. Empathise and/or apologise for their situation. 4. Establish if it is something the Help Desk can assist with. If not, explain why and refer them to the appropriate person. 5. Collect information. 6. Document and receipt the feedback or complaint. 7. Respond immediately if you have the data to respond. Be clear, and explain the reason for the response. If you cannot respond immediately, explain the process for providing a response in future, and commit a date for a response. 8. Let them know they have the right to complain again, or access alternative channels to complain. Tell them what those channels are. 9. Check they are satisfied. 10. Summarise. Any questions or clarification? If there is time, you might ask one person from the audience to try and demonstrate with a volunteer complainant. Note each steps as the role play goes on. Ask for feedback from the audience. Make sure to appreciate the efforts of the first volunteer to try this in public. Plenary discussion: What to do with the feedback/ complaint. Handout: 10 Step Process for Handling Complaints and Feedback D 15 Ask the group: (Answers are in brackets ask for examples as you go along to clearly explain each point. Double check that the responses are applicable in your office you may need to change some of these.) 149

155 CHD 1 Day Training Session Plans D 1. What complaints or feedback can you respond to immediately? (Refer to Section 7 of the Guidelines, points (3) and (4). Clarify: you can ONLY do this if this information is provided to you in writing. This is made clear in Section 14, point (9)). Do you need to document this complaint or feedback? (yes Section 7, point (1)). 2. What complaints must you document and refer on to WV? (All other complaints if they are covered by the Help Desk. Refer Section 8: only if related to WV). 3. What do you do if it is not related to WV? (Can refer to other people/organisations. Your Field Monitor may be able to advise, especially if a referral is required). 4. What do you do if a complaint or feedback involves a World Vision Field Monitor (contact District Coordinator, provide contact details)? What is it involves the District Coordinator? (contact <NAME AND CONTACT DETAILS>). 5. What do you do if you get a complaint related to abuse or protection? (World Vision can help with referrals to appropriate locations e.g. provide appropriate referral information <NAME AND CONTACT DETAILS>). Note that World Vision is responsible for ensuring this information is passed on to the appropriate people, if the person complaining gives permission for us to do so. Is everybody clear on what to do with complaints? Are there any other situations people would like to discuss so we can clarify what to do with them? Flip charts to document responses. 150

156 CHD 1 Day Training Session Plans 35 Practice time! Now we are going to practice everything that we ve learned for the whole day, but particularly how to record complaints, attitude and techniques for receiving and responding to complaints and how to respond to complaints. D Form groups of 3 to put all this in to practice: Help Desk Member, complainant/person giving feedback, observer. We are going to role play giving a complaint, and responding using the 10 Step Process. The observers job is to firstly observe, then give feedback, focusing on the 10 Step Process, and attitude. We are going to take 7 minutes to practice, then 3 minutes to debrief. We will do this 3 times so everyone gets a chance to practice and receive feedback. Are we clear. Form groups. Choose roles. Start role play. Advise when 7 minutes is up, to start debrief. Advise when 3 minutes is up to finish. Repeat practice session 2 more times until everyone has finished. Debrief: ask each participant to contribute one useful phrase or technique that they have gained from the practice. 5 Conclusion Does everyone feel confident now in handling complaints at a help desk? What I would like to ask you to do, is when you are in the field operating the help desk, that you continue to observe and give each other feedback in a respectful way. 151

157 CHD 1 Day Training Session Plans Session 8: Evaluation, Questions and Close. D Purpose: Review workshop Opportunity to ask questions Evaluation Time: 30 minutes Notes: In preparation, ask either your co-facilitator or one of your participants to be in a 3 minute role play Time Activity Trainer s notes Resources 2 Introduction Outline session objectives and structure. 15 Review of day and questions 10 Ask the volunteer to summarise what has been covered during the day. Ask if anyone has any questions now is the time to ask. Evaluation - Ask participants to complete the workshop evaluation form. Note, if literacy levels are too low to complete forms, you may choose to use one of the following options: Option 1: Ask the group what went well today? You can prompt with topics eg facilitation, achievement of objectives, facilities. Ask the group what didn t go so well, what would you like changed? Again, you can prompt with topics. Document on flip chart. Option 2: Divide in to groups of 4-6 and ask them to take 5 minutes to discuss what went well and what didn t go so well that they would like changed. Handout: Evaluation forms (1 per person) 152

158 CHD 1 Day Training Session Plans After the workshop closes, ask one representative from each group to represent the group to the facilitator, who then documents the responses. Handout: Evaluation forms (1 per person) D 3 Conclusion Thank participants for their hard work. Remind them that all they have done will be incorporated in to the systems and standards that will shape accountability in WV, and is very important. 153

159 CHD 1 Day Training: Handout: Confidentiality Exercise Confidentiality Exercise D Ask for volunteers: Woman who gossips Wise old sage Wind (4 people) Read the following story: A woman repeated a bit of gossip about a neighbor. Within a few days the whole community knew the story. The person it concerned was deeply hurt and offended. She was very sorry and went to a wise old sage to find out what she could do to repair the damage. Woman: Please Old Sage, I have done something very bad I have told someone something sensitive about my neighbour and now the whole community knows. She is so hurt. People treat her very differently now that they know. What can I do to make it better? The Old Sage replied: Go to the marketplace and purchase a chicken, and have it killed. Then on your way home, pluck its feathers and drop them one by one along the road. Although surprised by this advice, the woman did what she was told. (ask the woman to drop all the feathers around the room) (ask the woman to leave the room for a few minutes) (ask the wind to come and blow the feathers away) The next day the wise man said, Now go and collect all those feathers you dropped yesterday and bring them back to me. (ask the woman to go around the room looking desperately for the feathers she had dropped) The woman followed the same road, but to her dismay, the wind had blown the feathers all away. After searching for hours, she returned with only three in her hand. She returned to the Old Sage, and asked: But Old Sage, the wind has blown all the feathers away. What am I to do? And the Old Sage replied: You see it s easy to drop them, but it s impossible to get them back. Thank the volunteers. Ask the group what did you learn from this role play? Make sure the moral of the story is clear: So it is with gossip. It doesn t take much to tell someone something confidential that can cause somebody harm, but once you do, you can never completely undo the wrong. Ask the volunteers how this might related to their role as a Help Desk member when they receive confidential information? Make sure it is clear that confidentiality is critical. 154

160 CHD 1 Day Training: Handout: 10 Step Process Step Process For Handling Complaints and Feedback Welcome the person to the Help Desk. D 2. Listen to their feedback/complaint. 3. Empathise and/or apologise for their situation. 4. Establish if it is something the Help Desk can assist with. If not, explain why and refer them to the appropriate person. 5. Collect information. 6. Document and receipt the feedback or complaint. 7. Respond immediately if you have the data to respond. Be clear, and explain the reason for the response. If you cannot respond immediately, explain the process for providing a response in future, and commit a date for a response. 8. Let them know they have the right to complain again, or access alternative channels to complain. Tell them what those channels are. 9. Check they are satisfied. 10. Summarise. 155

161 CHD 1 Day Training: Handout: Evaluation Form D Evaluation Form Community Help Desk Training Congratulations! You have just completed a training on Help Desks. To help us improve, we would be grateful if you could complete this evaluation form. 1) Did this workshop meet your expectations? No, not at all Yes, very much 2) Has this workshop increased your understanding of Help Desks? No, not at all Yes, very much 3) Did the workshop meet its objectives to Participants will be able to confidently operate the help desks abiding by World Vision Help Desk Guidelines No, not at all Yes, very much 4) What session(s) did you enjoy the most? 5) What session(s) did you enjoy the least? 6) How would you improve the content of the workshop?? 156

162 CHD 1 Day Training: Handout: Evaluation Form 7) How would you improve the format of the workshop?? D 8) How confident do you now feel in operating a Help Desk in line with the World Vision Help Desk Guidelines? No, not at all Very 9) Would you recommend this type of workshop to your colleagues? No, not at all Highly 10) Please share any other comments regarding the workshop (facilitators, venue, etc) 157

163 CHD 1 Day Training: Handout: Certificate D CERTIFICATE This certifies that <name> Completed a 1 day workshop <date> in <location> on Community Help Desk Operations Conducted by World Vision <COUNTRY> <NAME> <POSITION> <NAME> <POSITION> <NAME> <POSITION> 158

164 Information Provision E Information Provision Guidelines Information Provision Guidelines Stakeholder Mapping Information Provision for Vulnerable Groups Information Provision Strategy Template Poster Templates: About World Vision, Feedback and Complaints, About the Program, Beneficiary Rights, When We Can t Assist Flyer Templates: About World Vision (Country level), About World Vision (District level), About Program Set Posters: Red Cross Code of Conduct, IASC a Code of Conduct, World Vision Integrity and Risk Reporting Hotline Pre-distribution Meeting Script Example Notice Board Design

165 Information Provision Guidelines World Vision [Insert Country Name] Information Provision Guidelines E A commitment to informing our stakeholders 1. Introduction World Vision [INSERT COUNTRY NAME] is committed to ensuring beneficiary communities and other key stakeholders are informed about its projects. Greater transparency with our key stakeholders strengthens our relationship with them and enables us to improve what we do. The right information provision strategies can build trust with relevant stakeholders and is the foundation for greater accountability in our program. A step-by-step approach is outlined in these guidelines led by the question what do our key stakeholders need and want to know? 2. Purpose These guidelines have been developed to guide staff in developing and implementing project information provision strategies. 3. Why Provide Information? Stakeholders have the right to be informed of what we do and how we do it, including projects, programs, activities, services and decision-making mechanisms in a manner that is accessible. Effective information provision can strengthen trust, build community ownership and encourage participation. People can t be involved in a project or service if they are not adequately informed. 4. Who to provide information to? All World Vision stakeholders need information about WV, our program and our commitments. This includes WV staff, beneficiaries, disaster-affected communities, local leaders, Government, other I/ NGOs, donors. 5. What information to provide World Vision shall make the following information publicly available to intended beneficiaries, disaster-affected communities, agency staff and other stakeholders: About World Vision About project Our name Who we are and what we do Brief history of what we have done in World Vision [INSERT COUNTRY NAME] Contact details Relevant aspects of the organisational structure. Project objectives Donor and any partners Project plans: what, where, when it will start and finish, any community meeting times and distribution plans Donor and WV implementing standards Beneficiary selection criteria and entitlements Beneficiary lists Beneficiaries roles and responsibilities Progress reports (achievements and program adjustments) Financial summary (due to sensitivity this can be limited as determined by project coordinator) Exit strategy 160

166 Information Provision Guidelines Feedback and complaints Rights Other Right to give feedback and make a complaint How to give feedback and make a complaint Note: an appropriate feedback and complaints system needs to be established first before this information can be provided. Aid priorities are calculated on the basis of need alone and no discrimination will be made based on politics, religion or ethnicity (Red Cross Code of Conduct) Beneficiaries have the right to receive aid free of harassment. World Vision will not tolerate corruption or sexual harassment (WV and IASC Code of Conduct) Beneficiaries are free to express their opinion, give feedback and complain (HAP-I). Other programs operating in the area for potential referral, whether by WV or other organisation General disaster information updates E 6. What information will not be provided Information that is determined to be too sensitive or harmful to World Vision or its stakeholders or likely to be misused will not be shared. 7. How the information will be provided 1. Accessible, understandable and appropriate: the information is accessible to everyone who needs it, including vulnerable and marginalised groups. It will be presented in languages and means that are appropriate for the audience. It will not include relief jargon or acronyms. Where possible, an effort will be made to make the information provision methods engaging. 2. Timely: The information should be current and updated regularly. 3. Safe: Double check that information does not mislead or cause harm to the agency or the affected population, and that it respects the dignity of all. 4. Verifiable: Information should be accurate, consistent, and validated. 5. Accountable: Give information users an opportunity to feedback what kind of information they want and how they want it as well as evaluate whether the information provided met both their needs and the above criteria. 8. How to design appropriate information provision mechanisms for your project (a) Stakeholder mapping and analysis (b) Plan Information Provision strategy 1. Make sure you have the correct information about the project. 2. For each stakeholder group, identify their information needs, what do they need to know about World Vision and our projects? 3. Identify appropriate formats for communicating each of the messages to each stakeholder group. Stakeholder groups should be asked how they prefer to receive information. This could include community meetings, community notice boards, loudspeaker, drama, brochures, posters, personal meetings, phone calls or other methods. Ensure that the needs of vulnerable groups are met. Use the tool Information Provision for Vulnerable Groups for ideas. 4. Design an action plan for each activity or project as required. 5. Develop materials, and check them first with the community through focus groups or informal interviews to make sure the intended message is clearly understood and the formats are appropriate. Ensure the materials meet these Information Provision Guidelines. 6. Ensure information provision plans are implemented. 161

167 Information Provision :Stakeholder Mapping Stakeholder Mapping E Tool: Purpose Stakeholder Mapping Stakeholder mapping identifies the people and institutions that are important to the community. This methodology also describes the relationship between stakeholders and the community by importance, frequency of interaction, and quality of the relationship. These instructions are designed to be most effective at the community level. Information Provision purpose: Most people and institutions that are important to the communities we work with need to know information about World Vision and our programs. Mapping the stakeholders provides a clear picture of who these people are, and allow us to deliberately plan for the best way to provide them with information. It also allows us to understand community relationships better, and can inform plans for consultation. Description of Methodology: Stakeholder mapping can be done with staff who know the community well, and/or with the community itself. Resources: flip chart and pens OR different sized circles of coloured paper Select a location where sufficient people can assemble around flip chart paper. Explain the purpose of the exercise. Ask the group to list the important institutions and people within the community. Ask the group to select different sized circles to represent each stakeholder, selecting big circles for the important ones, smaller circles for the less important ones. Place a circle on the ground or on the board, and mark it with the word community. Ask the group to place each of the representative circles toward the community circle according to the frequency of interaction and relationship. The ones that interact frequently and are closely related are placed closer to community circle, while the ones that interact less frequently are placed further away. When all the circles are placed, ask the group to draw lines between the community and the stakeholders representing their relationship as strong, medium or weak. 162

168 Information Provision :Stakeholder Mapping Modifications Using different resources If different sized circles of paper are unavailable, they can simply be drawn on flip chart paper. Simplifying analysis If you do not need to know the quality of the relationship between stakeholders and the community (lines drawn between), the importance of the particular stakeholder to the community (size of the circle) or the frequency of interaction and closeness of relationship (distance between stakeholder and community), simply remove the line, or do not allocate significance to the size of circles or distance from community. Different information requirements The significance of the size of the circle, lines between the stakeholders and community and distance between the community and the stakeholder can all be adjusted according to what you need to know about the community. E Example Additional resources/links: PLA, User Guide and Manual, Ravi Jayakaran, World Vision India,

169 Information Provision : for Vulnerable Groups Information Provision For Vulnerable Groups Identified Issues Information Requirement Consultation Requirement E The elderly Many older people have disabilities. Older people to varying degrees have failing eyesight. A number are housebound. Often will require assistance to attend meetings. A number of older people prefer verbal information, as they are not always literate. Written material needs to be in plain large font on sandy colored paper. Information needs to be short and simple. Given that older people may have disabilities it is better to use direct one on one-consultation techniques. Often a more structured approach is better. When surveys or interview questions are used they should be simple, short and clear. Adequate time needs to be allowed, as communication could take longer. Venues for community meetings should be accessible to people with a disability People with disabilities & their carers A range of disabilities, which require different forms of assistance. Written material needs to be in plain large font (font 14) on sandy colored paper. Provide aides to enable participation. Communication may take longer. Consider gaining assistance from specialist agencies that work with people with disabilities. 164

170 Information Provision : for Vulnerable Groups Identified Issues Information Requirement Consultation Requirement Young people Youth will often not attend usual consultation forums or participate in structured consultation approaches. Need to go where young people are i.e. school, youth clubs. Active in political issues. Information is best provided through venues where youth are i.e. schools or youth clubs. Where written material is used should be catchy bright with popular features such as art and graphics. Information needs to be short, simple, and to the point, using language, which is catchy. Do not assume that young people will read information/public notices. Make up posters/flyers and distribute them through schools, college, youth services or clubs. Use less structured consultation approaches e.g. a focus group where children are provided with drawing materials. Community art and community development activities are usually highly effective. Consider using youth workers to assist with the process. Schools are often glad to participate and to include such activities within their curriculum. Remember that not all young people attend school! Venues and consultations should be relaxed and informal. Handouts, films, dramas. E Child headed households Often don t attend school therefore speaking English, reading, writing skills poor Don t participate in community gatherings Use talking pictures as illustrations Use of simple language and simple terms One-on-one conversation At home visits More comfortable with a close, trusted member of the community present Chronically Ill and People Living With HIV (PLWH) Bedridden and housebound Don t grasp things easily Low self esteem due to illness Prefer verbal communication Stigmatised Information needs to be simple to understand Home visits Person responsible for visit needs some people skills ; dignity of CI needs to be preserved Through clinics Entertaining methods are appreciated eg drama/ theatre 165

171 Information Provision Stratey Template Information Provision Strategy Template E Purpose: This template is designed to help you document the information provision strategy for your program. It is to be used following the Information Provision Guidelines, and after you have completed Stakeholder Mapping. Section 1: Project: Donor: Coordinator: Purpose: This information provision strategy is designed to ensure World Vision (WV) fully informs its stakeholders about this project, following the WV Information Provision Guidelines. Section 2: Donor logo requirements: WV logo requirements: Other standards for information: WV [INSERT COUNTRY NAME] Information Provision Guidelines Any donor logo requirements: Section 3: Project phase Project preparation Who needs to be informed? What do they need to be informed of? How will they be informed? (information provision method) Project implementation Preparing for closure Project closure and evaluation 166

172 Information Provision Stratey Template Section 4: List any key problems in your program that might be helped by improving the way you inform people eg are people not coming because they don t know about key details of the program (dates, venues), are people not being referred because the people who refer don t know the beneficiary selection criteria? E Problem Information gap Who needs to be informed? What do they need to be informed of? How will they be informed? Section 5: Choose the key information provision method from Sections 3 and 4 that are the most important for your information provision strategy. Include any existing methods that you currently use and would like to continue with. Information Provision Method Key Messages Notice boards About WV (flyer provided by HAT) About the program Organisational structure Contact details 167

173 Information Provision Stratey Template E Section 6: This action plan will form the basis of your information strategy. Keep it simple. Include the key information provision methods, who is responsible, and when it is expected to happen. Fill the cost and funding source column where additional funding is required. Also include any training, material design and procurement, and checking materials with Communications and the community. Action Plan to prepare for information provision implementation. Task Person responsible By when Cost and funding source Pre-address community meetings (name) Before every distribution Cost already covered 168

174 Information Provision Stratey Template Section 7: Key staff to be informed of this plan: E How and when they will be informed: How will implementation be monitored: Who is responsible for monitoring? How will implementation be evaluated? Who is responsible for evaluation? STOP! Before finalising your plan, make sure you: Return to the Information Provision Guidelines, and check that your implementation strategy meets the requirements. Show your materials to communications to make sure they meet donor requirements and WV standards. All publications must be approved by communications before distribution. Check your materials with the community to make sure they are understood as intended. 169

175 Poster Template: About World Vision About World Vision E World Vision <COUNTRY> is a Christian humanitarian relief and development agency and part of the World Vision international partnership. The World Vision partnership is a global leader in relief and development and currently assists more than 100 million people in nearly 100 countries in their struggle against poverty, hunger and injustice, irrespective of religion, ethnicity, gender or political affiliation. <Insert map of your country with the points where you are operating clearly marked. If you don t have this, insert a relevant picture.> Sectors World Vision <COUNTRY> works in the following sectors: <TRY TO INCLUDE PICTURES, AND USE SIMPLE LANGUAGE> Funding World Vision <COUNTRY> s Area Development Programs are funded by Child Sponsorship from <LIST COUNTRIES>. Our relief programs are funded by grants from a number of sources including <LIST DONORS>. Food Aid Water and Sanitation Child Protection Contact Name: Position: Phone: Address: Our Vision for every child, life in all its fullness Our prayer for very heart, the will to make it so. 170

176 Annex Poster Template: How to Complain and Give Feedback How To Complain And Give Feedback World Vision personnel are expected to conduct themselves in a manner that reflects honesty and integrity, and that maintains the effectiveness, values and mission of the organization. E World Vision [COUNTRY NAME] encourages all our stakeholders to let us know any feedback, suggestion or complaint you might have about our programs, our commitments or staff conduct. At [PROGRAM eg food distributions], you can do this through the Help Desk. The Help Desk members will listen to your complaint, feedback or suggestion, write it down, and give you a receipt. Alternatively, you can fill a form and submit into the Suggestion Box. The suggestion box is more confidential, and will only be opened by [POSITION]. You can also talk to any World Vision staff member when you see them. You are welcome to send a letter, or phone the District Coordinator on [PHONE NUMBER AND OFFICE ADDRESS]. If your complaint involves people in the district, you can choose to make a confidential complaint by contacting the [POSITION], a national level position, on [CONTACT DETAILS]. Finally, for complaints relating to misconduct or illegal activities only by World Vision management, staff, board members or contractors, you can contact World Vision s international Integrity and Risk Reporting Hotline. It is based in the UK, and guarantees confidentiality. Phone (you can reverse the charges) or [email protected]. All complaints will receive a response by [TIME FRAME eg the next distribution, or within four weeks]. Our Vision for every child, life in all its fullness Our prayer for very heart, the will to make it so. 171

177 Poster Template: About Program [Program Name] E Why [program]? World Vision is beginning a <SECTOR> project to <OBJECTIVE>. The reason for this project is based on <ASSESSMENT PROCESS ETC>. About the program This program is funded by <DONOR> and implemented in partnership with <PARTNERS>. [Relevant picture and caption.] Relevant picture and caption. The program <DESCRIPTION>. Who the program is for This program is aimed at <BENEFICIARY SELECTION CRITERIA> located in <GEOGRAPHIC AREA>. Beneficiaries will be asked to <BENEFICIARY ROLES AND RESPONSIBILITIES>. Entitlements Selected beneficiaries will be entitled to <ENTITLEMENTS>. How World Vision Operates Aid priorities are calculated on the basis of need alone and no discrimination will be made based on politics, religion or ethnicity. Beneficiaries have the right to receive aid free of harassment. World Vision [Country] will not tolerate corruption or sexual harassment. You are free to express your opinion, give feedback and complain. Feedback and complaints can be filed directly with World Vision staff or through other means. Please refer to the back of this leaflet for more details. Our Vision for every child, life in all its fullness Our prayer for very heart, the will to make it so. 172

178 Poster Template: Beneficiary Rights Beneficiary Rights World Vision is a Christian humanitarian relief and development agency that has signed up to many international standards that govern how we must do our work. They include important beneficiary rights, which all World Vision staff and programs must respect. The most important are listed here. E No Discrimination Aid priorities are calculated on the basis of need alone and no discrimination will be made based ethnicity, politics or religion. No Harassment or Corruption Beneficiaries have the right to receive aid free of harassment. World Vision will not tolerate corruption or sexual harassment. Right to Complain Beneficiaries are free to express their opinion, give feedback and complain. Contact Name: Position: Phone: Address: Contact us to Find out more information on your rights Report an abuse of any of these rights Find out how to make a confidential complaint Our Vision for every child, life in all its fullness Our prayer for very heart, the will to make it so. 173

179 Poster Template: Referral When We Can't Assist When We Can t Assist You E World Vision cannot respond to every need. We focus on areas where we have skills and resources to deliver quality programs. Where we can t help, there may be others who are qualified to assist. Contact details are below. <CHANGE ISSUES BELOW TO SUIT YOUR CONTEXT> Child protection For issues to do with vulnerable children, contact <ORGANISATION NAME>. <CONTACT DETAILS> Adult protection For issues to do with vulnerable adults, particularly related to <e.g. domestic violence or rape> contact <ORGANISATION NAME>. <CONTACT DETAILS> Medical For medical assistance, contact <ORGANISATION NAME>. <CONTACT DETAILS> Growing food For assistance in growing your own food, contact <ORGANISATION NAME>. <CONTACT DETAILS> Business For assistance in developing your own business, contact <ORGANISATION NAME>. <CONTACT DETAILS> Contact World Vision Name: Position: Phone: Address: Our Vision for every child, life in all its fullness Our prayer for very heart, the will to make it so. 174

180 Flyer Template: About World Vision in <COUNTRY> World Vision <Country> World Vision began operations in <COUNTRY> in <YEAR>. Since then, it has maintained long-term community development programs throughout the country and has responded to all major crises, including the recent <EMERGENCY>. We currently work in <NUMBER> districts. E Programs Area Development Programs (ADPs): ADPs are long term development programs that focus on the wellbeing of children. Operating across neighbouring communities of 10,000 to 150,000 people, World Vision staff work in partnership with local families to enable them to work towards their own development. The aim is to empower people to address the causes of poverty in their community and create a brighter future for their children, through activities such as healthcare, agricultual training, income generation and eduction. World Vision has <NUMBER> ADPs in <COUNTRY>. We have also responded to emergencies including <LIST EMERGENCIES>. Our key areas of operation are: <SECTOR>: <List main activities.> <SECTOR>: <List main activities.> <SECTOR>: <List main activities.> <SECTOR>: <List main activities.> <SECTOR>: <List main activities.> <SECTOR>: <List main activities.> Relevant picture and caption. Our Vision for every child, life in all its fullness Our prayer for very heart, the will to make it so. 175

181 Flyer Template: About World Vision in <COUNTRY> E World Vision <COUNTRY> is a Christian humanitarian relief and development agency and part of the World Vision international partnership. The World Vision partnership is a global leader in relief and development and currently assists more than 100 million people in nearly 100 countries in their struggle against poverty, hunger and injustice, irrespective of religion, ethnicity, gender or political affiliation. World Vision <COUNTRY> s Area Development Programs are funded by Child Sponsorship from <LIST COUNTRIES>. Our relief programs are funded by Relevant picture and caption. World Vision [Country] Head Office Address Address Address Phone: Fax: For Further Information, please contact <Name, Position> Phone: <Name, Position> Phone: <NUMBER> Years of Working in <Country Name> Some key World Vision <COUNTRY> accomplishments include: <LIST ACCOMPLISHMENTS EG NUMBER OF CIPs, KEY PROJECTS COMPLETED, NUMBER OF PEOPLE ASSISTED BY PARTICULAR PROJECTS> MAKING A COMPLAINT, GIVING FEEDBACK OR SUGGESTIONS TO WORLD VISION World Vision personnel are expected to conduct themselves in a manner that reflects honesty and integrity, and that maintains the effectiveness, values and mission of the organization. WV Partnership Code of Conduct. World Vision [COUNTRY NAME] encourages all our stakeholders to let us know any feedback, suggestion or complaint you might have about our programs, our commitments or staff conduct. At food distributions, you can do this through the Help Desk. The Help Desk members will write down your complaint, feedback or suggestion, and give you a receipt. Alternatively, you can fill a form and submit into the Suggestion Box. The suggestion box is more confidential, and will only be opened by [POSITION]. You can also talk to any World Vision staff member when you see them. You are welcome to send a letter, or phone the District Coordinator on [CONTACT DETAILS]. If your complaint involves people in the district, you can choose to contact the Feedback Officer, a national level position, on [CONTACT DETAILS]. Finally, for complaints relating to misconduct or illegal activities only by World Vision management, staff, board members or contractors, you can contact World Vision s international Integrity and Risk Reporting Hotline. It is based in the UK, and guarantees confidentiality. Phone (you can call collect/reverse the charges) or [email protected]. All complaints will receive a response by the next distribution, or within four weeks. 176

182 Flyer Template: About World Vision in <DISTRICT> [District Name] District Current Programs World Vision has been operating in <DISTRICT> since <YEAR>. We have been involved in both relief and development programs. Our development program is called an ADP, short for Area Development Program, and focuses on the long term goals of communities. We have also responded to emergencies including <LIST EMERGENCIES>. In our work, we partner with <LIST PARTNERS>. E Our key areas of operation are: <SECTOR>: <List main activities.> <SECTOR>: <List main activities.> <SECTOR>: <List main activities.> <SECTOR>: <List main activities.> X Years of Working in [District Name] Relevant picture and caption. Some key World Vision accomplishments in [District Name] include: <LIST ACCOMPLISHMENTS EG NUMBER OF CIPs, KEY PROJECTS COMPLETED, NUMBER OF PEOPLE ASSISTED BY PARTICULAR PROJECTS> How World Vision Operates Aid priorities are calculated on the basis of need alone and no discrimination will be made based on politics, religion or ethnicity. Beneficiaries have the right to receive aid free of harassment. World Vision [Country] will not tolerate corruption or sexual harassment. You are free to express your opinion, give feedback and complain. Feedback and complaints can be filed directly with World Vision staff or through other means. Please refer to the back of this leaflet for more details. 177

183 Flyer Template: About World Vision in <DISTRICT> E World Vision [Country Name] began operations in [Country] in [Year]. Since then, it has maintained long-term community development programs throughout the country. We also respond to all major crises, including the current [ name emergency]. The World Vision partnership is a global leader in relief and development and currently assists more than 100 million people in nearly 100 countries in their struggle against poverty, hunger and injustice, irrespective of religion, ethnicity, gender or political affiliation. Relevant picture and caption. World Vision [Country] Head Office Address Address Address Phone: Fax: For Further Information, please contact <Name, Position> Phone: <Name, Position> Phone: Funding The main donors for <DISTRICT> development program are: <DONORS>. The main donors for <DISTRICT> relief programs are: <DONORS>. Future plans for the District The Area Development Program plans to continue until <YEAR>, focusing on <SECTORS>. Upcoming projects include <PROJECTS>. The relief program plans to <PLANS eg continue to respond to emergency situations when needed etc>. Organizational Structure The <DISTRICT> office is managed by <POSITION>, who supervises <KEY POSITIONS/SECTORS>. The <DISTRICT MANAGER> reports to <POSITION> in the national office, based in <CITY>. World Vision <COUNTRY> is headed up by the <POSITION TITLE>. MAKING A COMPLAINT, GIVING FEEDBACK OR SUGGESTIONS TO WORLD VISION World Vision personnel are expected to conduct themselves in a manner that reflects honesty and integrity, and that maintains the effectiveness, values and mission of the organization. World Vision Partnership Code of Conduct. World Vision [COUNTRY NAME] encourages all our stakeholders to let us know any feedback, suggestion or complaint you might have about our programs, our commitments or staff conduct. At food distributions, you can do this through the Help Desk. The Help Desk members will write down your complaint, feedback or suggestion, and give you a receipt. Alternatively, you can fill a form and submit into the Suggestion Box. The suggestion box is more confidential, and will only be opened by [POSITION]. You can also talk to any World Vision staff member when you see them. You are welcome to send a letter, or phone the District Coordinator on [CONTACT DETAILS]. If your complaint involves people in the district, you can choose to contact the Feedback Officer, a national level position, on [CONTACT DETAILS]. Finally, for complaints relating to misconduct or illegal activities only by World Vision management, staff, board members or contractors, you can contact World Vision s international Integrity and Risk Reporting Hotline. It is based in the UK, and guarantees confidentiality. Phone (you can call collect/reverse the charges) or [email protected]. All complaints will receive a response by the next distribution, or within four weeks. 178

184 Poster Template: About Program [Program Name] Why [program]? E World Vision is beginning a <SECTOR> project to <OBJECTIVE>. The reason for this project is based on <ASSESSMENT PROCESS ETC>. About the program This program is funded by <DONOR> and implemented in partnership with <PARTNERS>. The program <DESCRIPTION>. Who the program is for This program is aimed at <BENEFICIARY SELECTION CRITERIA> located in <GEOGRAPHIC AREA>. Beneficiaries will be asked to <BENEFICIARY ROLES AND RESPONSIBILITIES>. Entitlements Selected beneficiaries will be entitled to <ENTITLEMENTS>. How World Vision Operates Aid priorities are calculated on the basis of need alone and no discrimination will be made based on politics, religion or ethnicity. Beneficiaries have the right to receive aid free of harassment. World Vision [Country] will not tolerate corruption or sexual harassment. You are free to express your opinion, give feedback and complain. Feedback and complaints can be filed directly with World Vision staff or through other means. Please refer to the back of this leaflet for more details. Our Vision for every child, life in all its fullness Our prayer for very heart, the will to make it so. 179

185 Poster Template: About Program E World Vision is a Christian humanitarian relief and development agency and part of the World Vision international partnership. The World Vision partnership is a global leader in relief and development and currently assists more than 100 million people in nearly 100 countries in their struggle against poverty, hunger and injustice, irrespective of religion, ethnicity, gender or political affiliation. World Vision [Country] Head Office Address Address Address Phone: Fax: For Further Information, please contact <Name, Position> Phone: <Name, Position> Phone: Project Plans <DESCRIPTION OF HOW PROJECT WILL BE IMPLEMENTED> How to Register To be considered for this program, you will need to attend the community registration meeting to be held on <DATE, TIME> at <LOCATION>. Please contact <NAME> on the details above if you cannot make this day, or you have troubles registering. Important Dates The program will start with registration on <DATE>. Distributions will start from <DATE> and continue until <DATE>. Distributions will happen every <DAY/DATE> of the <TIME PERIOD> <OR LIST THE DISTRIBUTION DATES>. Community meetings will be held on <DATES>. After the Projects Ends <RELEVANT INFORMATION ABOUT PROJECT END SUPPORT STRUCTURES ETC> MAKING A COMPLAINT, GIVING FEEDBACK OR SUGGESTIONS TO WORLD VISION World Vision personnel are expected to conduct themselves in a manner that reflects honesty and integrity, and that maintains the effectiveness, values and mission of the organization. World Vision Partnership Code of Conduct. World Vision [COUNTRY NAME] encourages all our stakeholders to let us know any feedback, suggestion or complaint you might have about our programs, our commitments or staff conduct. At food distributions, you can do this through the Help Desk. The Help Desk members will write down your complaint, feedback or suggestion, and give you a receipt. Alternatively, you can fill a form and submit into the Suggestion Box. The suggestion box is more confidential, and will only be opened by [POSITION]. You can also talk to any World Vision staff member when you see them. You are welcome to send a letter, or phone the District Coordinator on [CONTACT DETAILS]. If your complaint involves people in the district, you can choose to contact the Feedback Officer, a national level position, on [CONTACT DETAILS]. Finally, for complaints relating to misconduct or illegal activities only by World Vision management, staff, board members or contractors, you can contact World Vision s international Integrity and Risk Reporting Hotline. It is based in the UK, and guarantees confidentiality. Phone (you can call collect/reverse the charges) or [email protected]. All complaints will receive a response by the next distribution, or within four weeks. 180

186 Set Poster: IFRC Code of Conduct The Code of Conduct Code of Conduct for The International Red Cross and Red Crescent Movement and NGOs in Disaster Relief E Principle Commitments: The Humanitarian imperative comes first Aid is given regardless of the race, creed or nationality of the recipients and without adverse distinction of any kind. Aid priorities are calculated on the basis of need alone Aid will not be used to further a particular political or religious standpoint We shall endeavour not to act as instruments of government foreign policy We shall respect culture and custom We shall attempt to build disaster response on local capacities Ways shall be found to involve programme beneficiaries in the management of relief aid Relief aid must strive to reduce future vulnerabilities to disaster as well as meeting basic needs We hold ourselves accountable to both those we seek to assist and those from whom we accept resources In our information, publicity and advertising activities, we shall recognise disaster victims as dignified humans, not hopeless objects 181

187 Set Poster: IASC Code of Conduct Inter-Agency Standing Committee (IASC) Core Principles Of A Code Of Conduct E Excerpt from a Plan of Action of the Report of the IASC Task Force on Protection from Sexual Exploitation and Abuse in Humanitarian Crises Exploitation and abuse by humanitarian workers constitute acts of gross misconduct and are therefore grounds for termination of employment. Exchange of money, employment, goods or services for sex, including sexual favors or other forms of humiliating, degrading or exploitation is prohibited. This includes exchange of assistance that is due to beneficiaries. Sexual activity with children (persons under the age of 18) is prohibited regardless of the age of majority or age of consent locally. Mistaken belief in the age of a child is not a defense. Sexual relationships between humanitarian workers and beneficiaries are strongly discouraged since they are based on inherently unequal power dynamics. Such relationships undermine the credibility and integrity of humanitarian aid work. Where a humanitarian worker develops concerns or suspicions regarding abuse or exploitation by a fellow worker, whether in the same agency or not, she/he must report such concerns via established agency reporting mechanisms. Humanitarian workers are obliged to create and maintain an environment which prevents exploitation and abuse and promotes the implementation of their code of conduct. Managers at all levels have particular responsibilities to support and develop systems, which maintain this environment. 182

188 Set Poster: WV IRR Hotline E 183

189 Pre-distribution Meeting Script Template Pre-Distribution Meeting Script Template E Black script = directions Orange script = word-for-word script <Orange script> = <generic word or example that needs to be replaced> Inform all relevant stakeholders about the meeting time, date, venue and purpose well in advance Meet with community leaders prior to the meeting. Explain what the meeting will be about. Inform about the agency, program and selection process. Discuss any issues. Introduce the team by name and position. Explain the roles of each person if they are not self-explanatory by title. Introduce the agency: Name Objectives/mission in <Country> Name of District Coodinator, contact details of District Office Values of the organization, including that the organization is a-political As an NGO we are a-political, non-partisan and <distribute food> based on need only. Overview of the types of programs the organization runs in <Country> About the program Name of the program Donor and partners of the program: The food that we distribute comes from the <Donor>. We work closely with <Partners eg the Government of (Country) through various Ministries and Departments. This includes the Ministry of (Ministries) and (List Government Officials eg Provincial Governors, District Administrators and Local Authorities)>. Objectives: <Program objective eg provide emergency food support to the most vulnerable households in targeted food insecure areas.> If assessments have occurred, give results. Targeted wards are selected based on <give criteria eg the assessed degree/duration of food insecurity during the approaching hungry season>. The assessment reports that we use for geographical targeting are: <give names and explain>. Duration and expected end date. Distributions are planned to start in <date/month>. The <program name> is expected to run until <date/month/year> depending on the <variable eg harvest>. This is because <give reason eg this time of year is considered the time when food is least available and people are most food insecure. After harvests, it is expected that people are able to source their own food.> Targeted group: the people who are selected to be beneficiaries are <eg the very food insecure who do not have means to obtain food either through remittances, sale of assets or ability to work, produce food themselves or any other means.> Beneficiaries will be selected using <beneficiary selection methodology eg a variety of methods including social mapping, to make sure we identify all the households in the village, community vulnerability ranking to understand your perspective of vulnerability and through a data analysis tool called PRR which analyses people s access to food based on household data. These methodologies are all combined for the final beneficiary list. Not everybody who is registered will become a beneficiary, although people who don t qualify may be eligible for other programs eg (list programs in the area). It s very important for you to stay as only villages with 80% representation can be registered.> 184

190 Pre-distribution Meeting Script Template The final beneficiary list is planned to be communicated to the village through a public meeting on <date>. Details will be confirmed and you will be informed closer to the day. Entitlements Each person is entitled to <list entitlements eg 10kg Cereal, 0.6kg Oil, 1kg Pulses each month> Relevant dates and schedule of activities We expect to distribute <schedule eg monthly> depending on <list variables eg the ability to receive food from outside of the country>.. Role of stakeholders eg Village Heads and Chiefs to notify and mobilize beneficiaries. <eg We work closely with the District Administrator, Councilor, Chiefs and Village Heads. We will inform them of our plans and activities and request that they pass this information on to you, and mobilize you to attend the meetings and distributions.> E Role of beneficiaries eg to volunteer (unpaid) to be a part of a Food Distribution Team, Help Desk Team etc <The food we are distributing belongs to you as a community. As such, it is important you are involved in the program. We will be asking for unpaid volunteers to be a part of a Food Distribution Team, a Help Desk Team and to help unload food and keep the food secure.> 5. Agency responsibilities and beneficiary rights. <Agency> is a signatory to international standards including the Red Cross Code of Conduct, the Humanitarian Accountability Partnership and Sphere. These standards clarify our responsibilities to you, and highlight your rights as beneficiary communities. It is our responsibility to ensure aid priorities are calculated on the basis of need alone and no discrimination will be made based on politics, religion or ethnicity. If any discrimination is occurring, please report this to us. It is your right as beneficiaries to receive aid free of harassment. <Agency> will not tolerate corruption or sexual harassment. For this food, you are not required to exchange money, goods, favours or sexual activities. If this is requested of you, somebody is acting completely against our standards. Please report this immediately How to complain and give feedback Who to complain or give feedback to (in person, by phone) How to make a formal complaint Everyone has a right to complain and give feedback, whether they are a beneficiary or not. You are free to express your opinions, give feedback and complain. Feedback and complaints can be directed to the help desk who will document your comment, pass it on to <agency> and have a response by the next distribution. We encourage positive feedback as well as your complaints. If you are not comfortable using the help desk, you are free to speak to any stakeholders <eg DA, Chief, Councilor or Village Head, any staff member, (drop a letter in our suggestion boxes at FDPs where they exist)>, contact the nearest <agency> office <provide address and phone number of the office> or our head office. You can also call, visit or send a letter to <name and position> and <phone number and address>. This person s job is to listen to your complaints and feedback and deal with them in a confidential manner. Exit strategy for the project if there is one. <Program> is expected to end in <month/year>. List future plans eg <There may be another food distribution starting in September 2009 depending on the food security situation. (Program) plans to continue until the food security in the area is improved. As an emergency relief program, (Program) will not be here forever. There will come a time when food distributions will no longer 185

191 Pre-distribution Meeting Script Template E 8. continue. We encourage you to invest in improving your food security situation if you can to prepare for this time.> Conclusion Thank you for coming here today. Are there any questions or issues that anyone would like to raise here before we close the meeting? Answer questions. If you have any further questions, we will be available to answer them for the next <time eg 30 minutes>. If you have questions or issues after we are gone, please <give method for asking questions>. The next meeting is scheduled for <date/ time/location>. 186

192 Notice Board Specifications Notice Board Specifications E 187

193 Data Collation and Reporting f Data Collection and Reporting Steps for Collating, Analysing and Reporting Data Monthly Report Template District Level Monthly Report Template National Level Resources available in soft copy: Excel Data Collection Template Example SPSS Data Collection Template Example 188

194 Steps for Collating, Analysing and Reporting Data Collating, Analysing and Report Writing Addressing each individual complaint improves our work in the field. To be able to make larger programming improvements however, it is important to be able to understand the complaints at a district and national level. This section explains how to collate, analyse and present the information to management so they are able to learn and make informed decisions about programming. F Why is a data management system important? A data management system is important to make broader use of the complaints that we receive, as explained above. This can be achieved by using the information to: Compare different districts to identify early whether there is a common issue with the project that needs to be addressed nationally or on a wider scale. Inform and provide evidence for the development of new proposals if similar needs or issues come up in different areas the World Vision cannot address with current resources. Alert management to the most common issues and serious cases, in order to inform programming decisions. Quickly find individual complaints of concern that were registered anywhere in the country. Track progress against particular issues by keeping historical records. Data security Data security of a complaints data management system is very important to protect the identity of complainants and the integrity of the process. To maintain data security, the following is recommended: All hard copy files should be locked in a cabinet with a single staff person who has a key, ideally the manager of that office. That person must authorise all access of records, and note the location of any borrowed records. Access should be limited to a small number of appropriate staff. All soft copy files should be stored on a password protected desktop in an office, rather than a laptop which is carried around. Soft copy documents need to be backed up monthly onto a CD and stored in a locked cabinet. No records or complaint archives are to be taken outside the office without express permission of the Manager, and should never be loaned to parties outside World Vision. No alterations or additions can be made to the original record of the complaint. If there is a need to record future developments or a change in circumstances or otherwise reflect inaccurate information or deficiencies, a further document can be generated and attached to the file. How to collate, analyse and write reports There are many ways to do this and the following steps are but one example that records information centrally. This example records all the information you need to compile management reports but does not collate details of the complaints. World Vision FPMG is working on developing a database that can be implemented globally and is able to record complaint details. In the meantime, to create your own system you can follow the instructions to firstly create a data entry template, then determine and follow a process for collating, analysing and reporting the data. 189

195 Steps for Collating, Analysing and Reporting Data Create a Data Entry Template 1. Collect the first month s complaints from every FDP in every district. Review and categorise complaints at a national level. 2. Assign codes to the complaints (optional). F Create data entry template. Collate, Analyse and Report Data 1. Determine the process for collating data 2. Data entry and analysis 3. Report writing a. District level report structure b. National level report structure Keep in mind that your report can only be as good as the information collected in the complaints form used to record complaints you can t report on information you have not recorded. 190

196 Steps for Collating, Analysing and Reporting Data CREATE A DATA ENTRY TEMPLATE Collect the first month s complaints from every FDP in every district. Review and categorise complaints at a national level. Assign static codes to the complaints (optional) Create data entry template F 1. Review and categorise complaints at a national level To be able to analyse the data, the first priority is to establish a system to centralise the data collection, and to categorise the data in to type of complaints. If you wish, you can code this information. There are two types of categories that will be allocated. The first is type of complaint which summarises all similar complaints. Type of Complaint Category Example Type of Complaint category: lost ration card. The following complaints would all be categorised as loss of ration cards: I lost my ration card I left my ration card at the river and now I can t find it I don t know what happened to my ration card. It s missing. I think my ration card blew away in the storm yesterday. The second is a broad category which summarises all the types of complaint categories in to a maximum of five groups. Broad Category Example Broad complaint category: Current Programming Issues The following complaints would all be categorised as current programming issues: Loss of ration cards Name not on the beneficiary list Increase ration sizes Categorising complaints must be done during the first month of establishing the Complaint and Response Mechanism, after the first set of complaints have been collected. Start by categorising complaints following these steps: a. Collect all the complaint registers or copies of all the complaint registers (whichever is most practical) from all the food distribution points in the country at one central location. This only happens this one time. b. Determine the Type of Complaint categories. Set a team of two or three people to review all the complaints. Start listing each complaint on a flip chart in summary form, as a type of complaint e.g. if you see the complaint I left my ration card at the river and now I can t find it, write it down as lost ration cards. When you come across I think my ration card blew away in the storm yesterday, you don t need to write down anything new. c. Continue until all registers have been reviewed, and all types of complaints have been categorised. Each type of complaint needs to be written on the flip chart only once. d. Determine the broad categories that you want to allocate to your complaints. This should not be more than 4-5. Select categories that provide useful information to management and/or assist the complaints-handling process in the field. Two examples are provided below, one from e. Northern Sudan and one from Myanmar. At least one category should be serious complaints or incidents. 191

197 Steps for Collating, Analysing and Reporting Data f. g. Allocate each type of complaint category to fit each broad category. See the examples below for assistance. Decide if sensitive complaints will be recorded here, with restricted access and/or names and particulars removed. F Example 1: categories from Northern Sudan 1. Current programming issues These are issues or complaints based on the promises made under the current program and can be addressed within the confines of the current program. 2. New programming suggestions These are issues or suggestions which the beneficiaries raise with the aim of improving our service delivery. They can be in the form of recommendations which are put forward to address problems encountered. Such suggestion can be of great use when writing proposals for the next phase. 3. Serious issues These are complaints which harm the implementation of the program or issues which are either illegal, unethical or cause harm to a person or people. The reputation of the organisation may also be at risk. These issues need immediate attention from management. Example 2: categories from Myanmar a. Positive feedback Positive feedback is confirmation that WV is living up to its commitments and the expectations that stakeholders have for us. It reaffirms the approach being taken, and no corrective action is needed. Therefore, no agreed timeframe for action is necessary. b. Concern feedback Concern feedback is comments from stakeholders on the general direction of a program or practice that WV is implementing. The concerns expressed by stakeholders show that there is not clear understanding of WV s policies, plans, and / or activities. There are two main causes for this: either the circumstances are beyond WV s control (e.g. donors reduce funding orn resources and programs must be adjusted, or government does not allow operations as planned); or there is a communication gap between what WV plans and stakeholders expect. Concern feedback does not require corrective action by WV, but the concerns expressed need to be addressed with stakeholders. This would normally be done in groups, rather than with individuals. The concerns should be addressed to the relevant stakeholders within 30 days, or before the next WV activity in the community, whichever comes first. c. Negative feedback Negative feedback is a grievance made when a stakeholder believes that World Vision has failed to meet a stated commitment. This commitment can be related to a program plan, beneficiary selection criteria, an activity schedule, a standard technical performance, an organisational value, a legal requirement or other organisational commitments. You may like to include reference to the categorisation you develop in your National Level CRM Policy. 192

198 Steps for Collating, Analysing and Reporting Data 2. Assign codes to the complaints (optional) The task under this step is to allocate type of complaint codes to each complaint under the chosen categories. This is optional because you can still create an effective data management system without doing this. Advantages of assigning codes It is faster to write the code on the original complaints registers Reduces potential data analysis errors due to misspelling the category, although these can be minimised in Excel using the automatic predictive text. This is especially useful when entering data in different locations, which is centrally consolidated. Disadvantages of assigning codes Adds another layer of complexity to the process Takes time to set up and needs to be communicated to everyone using the data management system F The instructions here are for those who decide to allocate codes to the type of complaint categories. If you decide not to code your complaints, you can skip this step. The Northern Sudan example will be used to help explain this step. a. Assign code 100 to the first listed complaint under the Current Programming issues and code 101 for the second listed until the last type of complaint under this group. Some examples from Northern Sudan: 101 Lost ration card 102 Name not on the beneficiary distribution list 103 Increase food rations 104 Change white sorghum to red sorghum 105 Ration card serial number not in the beneficiary distribution list 106 Resume distribution of Corn Soya Blend 107 Replacement of torn ration cards 108 Provide WV Jackets to food distribution committee members 109 Provide more scales for weighing at the FDPs 110 The ration card was burnt 111 Name not found in master beneficiary list b. c. Assign codes from 200 for the complaints under the New Programming Suggestion Issues. For example first complaint on the list should be assigned code 200, second complaint 201 and third 202 until the last type of complaint under this grouping. Some examples from Northern Sudan: 201 Provide milling vouchers 202 Provide NFIs like water containers 203 Provide calculators for use when receiving food from WFP 204 Provide shelters at the weighing area 205 Provide water tank at FDP Assign codes from 300 for the Serious Complaints in the same manner as above. Some examples could include: 301 Food is being stolen 302 Food is being redistributed 303 Staff are behaving inappropriately 193

199 Steps for Collating, Analysing and Reporting Data F a. b. Please note that these codes are permanent and new types of complaints coming through will take the next available slots underneath e.g. if the last listed type of complaint was 111, the new complaint under this group will be assigned code 112 and so on. When the coding system list has been developed, go back to the Complaints Register and assign the appropriate type of complaint code to each of the complaints documented based on the above coding system. Write the code against the complaint in the Complaints Register preferably using a distinct pen. Please note that these will be the codes which will be entered into the Excel/SPSS data entry template. There will be no writing of statements. 3. Create Data Entry Template A data entry template is the Excel or SPSS format where the data collected from your complaints form is entered in to. To create the data entry template: a. b. c. Decide if you will use Excel or SPSS. This will be determined by what resources and skills are available in your organisation to purchase the program and enter and analyse the data. Develop the fields for your data entry template. This will be determined by the level of information you would like to report on and what information you have collected. If your complaints form does not have the data, it cannot be recorded or reported on. Develop the data entry template. There are Excel and SPSS templates included in the soft copy of this manual for you to manipulate for your purposes. To help you with Step (b), you will find two examples below of what the fields for a data entry template could look like. All complaints will be individually entered but using the code or written type of complaint category assigned to that complaint. Please note that it is also useful to know which FDPs did not receive any complaints. This means that every FDP should be documented. In order to do this, you may choose to allocate complaint code 999 for an FDP which did not receive any complaint, and record under Complaint Code in the Data Entry Template. If you are not coding complaints, you can achieve this by writing no complaints received as the type of complaint. Simple Data Entry Template: A simple data entry template will include Date, FDP Code, Name of Complainant, Complaint Code, and Date Response Provided. If you are using Excel, each cell going horizontally accommodates one heading. Here are two examples of the same data entry template, one using titles (for those who chose to skip Step 2) and one using codes: Using type of complaint category titles: Date FDP Code Name Haroum Ali Type of complaint Name not found in master beneficiary list Date Response Provided Time from complaint to response

200 Steps for Collating, Analysing and Reporting Data Using type of complaint category codes: Date FDP Code Name Complaint Code Date Response Provided Time from complaint to response Haroum Ali Where the headings are intended as follows: F Date FDP Code Name Date the complaint was received The Code allocated to that FDP Name of the complainant Complaint code Type of complaint code as developed in Step 2. Type of complaint Type of complaint category as developed in Step 1. Date response provided Time from complaint to response Date response is given to the complainant. Number of days from when the complaint was received to when a response was provided to the complainant (this information is determined by the data entry person by counting the days) If you have not collected information on the date the response was provided, a data entry template with the first four columns will still give you enough data to write a solid report to inform management decisions. It will not however meet FPMG standards according to the FPMG CRM Policy as you will not be able to monitor response times. More Detailed Data Entry Template: A more detailed data entry template will also tell you what action was taken, whether the complainant was satisfied and the date the file was closed. It could include one or all of the following if the information is recorded in the Complaints Register: Date, FDP Code, Name, Ration Card Number, Complaint Code, Staff Member, Action, Date Response Provided, Time from Complaint to Response, Satisfied or Appeal, Date File Closed. For example: Without codes: Date FDP Name Persh Central 3 Haroum Ali National ID Type of complaint Name not found in master beneficiary list Staff member Patience Nikomwe Action Resolved at district office Date response provided Time from complaint to response Satisfied or appeal Date file closed Satisfied With codes: Date FDP Code Name Haroum Ali National ID Complaint code Staff member Action Date response provided Time from complaint to response Satisfied or appeal Date file closed

201 Steps for Collating, Analysing and Reporting Data Where the headings are intended as follows: Date Date the complaint was received FDP Code The code allocated to that FDP F Name National identification number Name of the complainant The complainant s national identification number if it is acceptable in the context. A beneficiary s ration card number may also work for identification, although it means nonbeneficiaries will not have a number. Complaint code Type of complaint code as developed in Step 2. Type of complaint Type of complaint category as developed in Step 1. Staff member Action Name of staff member responsible for the resolution of the complaint. NB if you wish to report by staff member, you will need to allocate codes to each staff member and record the code, not the name. This is because spelling mistakes or slightly different names for the same person will create serious errors in your data. You have a few options here. The most simple is to allocate three categories and/or codes for Action depending on your system for handling complaints e.g. 1: Resolved at FDP, 2 Resolved at District Office, 3: Resolved by Complaints Board. Another option is to follow a similar process to Step 2 to code all actions taken. This will give significantly more information, but add another level of complexity. Date response provided Date response is given to the complainant Time from complaint to response Number of days from when the complaint was received to when a response was provided to the complainant (this information is determined by the data entry person by counting the days) Satisfied or Appeal Date file closed 1 = Satisfied 2 = Appeal This is best recorded on the Register at the time of providing a response or when an appeal is made. The date the complainant has been provided a response, is satisfied, and a World Vision staff person signs that the file is closed. You may also like to collect and record the method used to make a complaint (e.g. help desk, letter, phone, staff member), 196

202 Steps for Collating, Analysing and Reporting Data Collating, Analysing and Reporting Data Collating, analysing and reporting data will follow a different process depending on whether you do your data entry at district level or at the national level. The first step is to make this decision. The rest of this section will then explain how to analyse the data, and write relevant reports. The analysis process is the same, whether it is done at the district or national level. Two report templates are provide, one for district level and one for national level. As with all the other templates, these can be amended for your purposes. It is recommended that reports are written at both the district level and national level, in order to inform decisions at both levels. F Collate, Analyse and Report Data 1. Determine the process for collating data 2. Data entry and analysis 3. Report writing a. District level report structure b. National level report structure 1. Determine the Process for Collating Data Data will have to be collected every month to be able to write monthly reports. There are many different processes you could use to collect data. The following option is presented for your consideration. Essentially, each district office enters its own data and sends the data electronically to a central person for consolidation. To use this process, you will need to have the resources and skills of staff at district and national level to enter and analyse data, and present the data in a report. It will require training to make sure each person doing this work does so to the same standard. Some other questions that may help you determine a process for collating data: How are other documents collected for centralised reporting? Can the system for centralising reporting on complaints be linked somehow? How easy is it for the hard or soft copies to be sent to a centralised location? How secure is the process, for the data, communities and for staff? How many complaints are received? How will this impact the choice of system? 197

203 Steps for Collating, Analysing and Reporting Data Example Process for Data Collection, Analysis and Report Writing F 1. Collect all complaints registers at district level and write type of complaint or code on each original complaint for the month 2. Enter data in to the data entry template at the district 8. Write national level report 3. Analyse data at district level 7. Analyse data at national level 4. Write district level report 6. Consolidate data in to one data entry template nationally 5. Send data to a central location 198

204 Steps for Collating, Analysing and Reporting Data 2. Data entry and analysis Step 1 will determine where the data is entered and analysed. It is important that anyone who enters data in to a data entry template is trained, so that the data is entered consistently. Once the data is entered in to the data entry template, check for and correct any data entry errors before beginning the analysis process. Conduct the analysis focusing on the planned indicators being tracked. Base your analysis on this plan: Number of complaints received in total, and by FDP Type of complaints received in total, and by FDP Number of complaints resolved and response time Number of complaints still to be resolved, still within the timeframe specified by the National CRM Policy Number of complaints still to be resolved, exceeded the timeframe specified by the National CRM Policy Compare findings with the previous month F You may expand your analysis plan depending on the data entry template you developed. 3. Report writing The next stage is to compile a report interpreting your findings and presenting these findings in a narrative and tabular formats. Below is a guide to the type of report you may want to present to management at the national level. A report template with tables and examples is also provided that you may find useful. Keep in mind that the timeliness of the report is very important. Complaints need to be resolved as quickly as possible, and within the timeframe stipulated in the CRM Policy. This report plays an important role by informing decision making processes by management; hence it should be timely and rich in information. For programs that run on monthly cycles, such as many food distributions, the report should be circulated in time so that issues needing corrective action can be accommodated in that month. In Northern Sudan for example, the CRM report is completed by the 7 th of the following month. It is highly recommended that both district level and national level reports be completed as they serve separate purposes. A District Level report informs the district manager of the overall trends in his or her district, and alerts him performance in response time and in comparison to the previous month. It provides an opportunity to document action plans if that has not already been done, and to check progress on action plans from previous months. National level managers may wish to monitor reports at this level, to see what action is being taken to address complaints. The district level report is more simple, intended to be easy to use for district level staff. National Level reports inform all Senior Management of the overall trends in complaints and issues. It alerts them to performance also in response time and in comparison to previous months at a national level. It provides an opportunity to document national level action plans, and to check progress on action plans from previous months. The national level report is more complex, intended to provide the analysis required by senior managers, and for reporting externally and internationally if required. 199

205 Steps for Collating, Analysing and Reporting Data A. District Level Report Structure Refer to the National Level Report Template for examples and table formats for presenting data. F Introduction State the purpose of the report Complaints Analysis Report on the number of complaints, type of complaints, outstanding complaints to be resolved and response time. Provide tables. Templates are in the District Level Report Template. Give comments on the complaints e.g. you may be able to explain why people are complaining about particular issues. Explain change in complaints from the previous month. Highlight the largest changes, either by Type of Complaints and/or by FDP. 3. Report on Serious Incidents Under this section, serious complaints and issues requiring management attention are documented in detail. These should have already been communicated at the time the issue was discovered. The purpose of including the information here is for broader dissemination and review. If there are no serious incidents, state as such. 4. Action Plan This action plan may be initially written by a District Officer based on existing action plans for each type of complaint. It should be amended and approved by the District Manager before the report is finalised. 5. Progress on previous action plan Use this section to report on last month s action plan plus any ongoing or incomplete actions from all of the previous months. Only actions that have been reported as complete should be removed from this section. B. National Level Report Structure Refer to the National Level Report Template for examples and table formats for presenting data Introduction State the purpose of the report Methodology Briefly describe the process of compiling the report Objectives of the CRM State what CRM seeks to achieve in bullet point Complaints Analysis Document the findings in details giving the numbers, % proportions and comparisons Following FPMG CRM Policy, report at a minimum on the number of complaints, response time and type of complaints. 200

206 Steps for Collating, Analysing and Reporting Data Present findings in tables and graphs It may be appropriate to include comments from the Team Leader who manages the program next to the analysis, see the tables in the Report Template as an example. 5. Report on Serious Incidents Under this section, serious issues requiring management attention are documented. These should have already been communicated at the time the issue was discovered. The purpose of including the information here is for broader dissemination and review. If there are no serious incidents, state as such. F 6. Other Relevant Data Provide information from other sources that are relevant to the issues raised by or functioning of the CRM. Post Distribution Monitoring Report data is likely to be particularly relevant e.g. % respondents who complained who received a response by the due date. If there is no other relevant data, exclude this section. 7. Reason for -/+ in number of complaints Give reasons for the increase or decrease in number of complaints from the previous month. 8. Recommendations or Action Plan, Observations and Conclusions The way this section is written will depend on who writes the reports. If the report is written by M&E, recommendations addressing the points below are appropriate. However, if the report is written by the Program Manager, it might be more appropriate to include action plans to address the complaints. Recapture important issues needing attention soon State any observations from the field Suggest solutions to some of the problems/challenges Way forward for strengthening the process at field level 9. Progress on Previous Action Plan or Recommendations Use this section to report on last month s action plan plus any ongoing or incomplete actions from all of the previous months. Only actions that have been reported as complete should be removed from this section. 201

207 Monthly District Report Template F World Vision <COUNTRY> <PROGRAM> Complaint and Response Mechanism (CRM) Report <DISTRICT> <DATE/REPORTING PERIOD> 202

208 Monthly District Report Template 1. Introduction State the purpose of the report Example: The Complaint and Response Mechanism Report records details of all the complaints received by <PROGRAM> for <TIME PERIOD>. The complaints are analysed by number and type of complaint across different Food Distribution Points for comparison. Information on response time and relevant Post Distribution Monitoring Data is also included. The data is compared to the previous month to monitor progress. The purpose of the report is to inform management to be able to understand the issues concerning stakeholders from their perspective and make informed programmatic decisions and monitor implementation of the Complaint and Response Mechanism. F 2. Complaints Findings and Analysis Following FPMG CRM Policy, report at a minimum on the number of complaints, response time and type of complaints. This will be most useful disaggregated by FDP. Use narrative to give a brief summary before the table. Give comments on the complaints e.g. you may be able to explain why people are complaining about particular issues. Explain change in complaints from the previous month. Highlight the largest changes, either by Type of Complaints and/or by FDP. Table 1: Number of and type complaints received per Food Distribution Point and change on previous month (data in table is for example only) <DISTRICT> TOTAL PREVIOUS MONTH TOTAL % CHANGE LAST MONTH Type of Complaints FDP# FDP# FDP# FDP# FDP# <Category 1> <e.g. loss of ration cards> <Category 2> <e.g. provide NFI to carry water> Total # per FDP % Previous Month Total % Change on last month # HH per FDP 1558 % complaints v HH per FDP 2 203

209 Monthly District Report Template State National CRM Policy on the time by which complaints should be responded to Summarise and explain reasons for results F COMPLAINTS UNDER INVESTIGATION The numbers given here are ALL complaints still under investigation that have not been closed, not just the complaints received in the past month. Number of complaints still to be resolved, that have not exceeded <the National CRM Policy for response time> (report total including previous months): Number of complaints still to be resolved that have exceeded <the National CRM Policy for response time> (report total including previous months): Time taken to respond # of complaints this month # of complaints last month % change on last month Total for year % of total complaints for year 2 weeks or less; 4 weeks or less; > 2 weeks 6 weeks or less; > 4 weeks 8 weeks or less; > 6 weeks More than 8 weeks Still under investigation 3. Report on Serious Incidents Under this section, serious complaints and issues requiring management attention are documented in detail. These should have already been communicated at the time the issue was discovered. The purpose of including the information here is for broader dissemination and review. If there are no serious incidents, state as such. 4. Action Plan This action plan may be initially written by a District Officer based on existing action plans for each type of complaint. It should be amended and approved by the District Manager before the report is finalised. 204

210 Monthly District Report Template Example Action Plan: Action Person Responsible Due Date Advocate to Relief Manager for more funding to increase ration sizes District Manager June 21 F 5. Progress on previous action plan Use this section to report on last month s action plan plus any ongoing or incomplete actions from all of the previous months. Only actions that have been reported as complete should be removed from this section. Action All pre-distribution addresses to clarify beneficiary selection criteria Person Responsible Due Date Food Officer May 20 Status Completed. Will continue next month 205

211 Monthly National Report Template F World Vision <COUNTRY> <PROGRAM> Complaint and Response Mechanism (CRM) Report <DATE/REPORTING PERIOD> 206

212 Monthly National Report Template 1. - Introduction State the purpose of the report Example: The Complaint and Response Mechanism Report records details of all the complaints received by <PROGRAM> for <TIME PERIOD>. The complaints are analysed by number and type of complaint across different Food Distribution Points for comparison. Information on response time and relevant Post Distribution Monitoring Data is also included. The data is compared to the previous month to monitor progress. The purpose of the report is to inform management to be able to understand the issues concerning stakeholders from their perspective and make informed programmatic decisions and monitor implementation of the Complaint and Response Mechanism. F 2. - Methodology Briefly describe the process of compiling the report Example from Sudan: The completed logbooks from the Food Distribution Points are collected by the Monitoring and Evaluation team after the distribution cycle on monthly basis. All the complaints documented are coded for inputting into the computer data base for analysis. The database containing all the complaints from all FDP are analysed to come up with the proportions of different complaints received. The database allows the disaggregation of complaints by Food Distribution Point and by complaint classification. The analysis is done using statistical program for social sciences. The report will mainly be presented in table and graphs with little text Objectives of the Complaint and Response Mechanism State what the CRM seeks to achieve in bullet point. Example: The Complaint and Response Mechanism aims to provide beneficiaries and other stakeholders the opportunity to give feedback and make complaints about World Vision staff and operations in a safe and accessible environment. This will help World Vision resolve issues early and inform program redesign, which will contribute to more effective programmes. The objectives of the CRM are to: Discover challenges that could obstruct the quality project implementation and highlight them to management for action. Identify and address issues concerning stakeholders. Build trust and good relationships between World Vision and the community. 4. Complaints Findings and Analysis Summarise details of the findings giving the numbers, % proportions and comparisons Present findings in tables and graphs (it is recommended that you include all the tables at the end of this document). Following FPMG CRM Policy, report at a minimum on the number of complaints, 207

213 Monthly National Report Template response time and type of complaints. This will be most useful disaggregated by FDP. F COMPLAINTS UNDER INVESTIGATION The numbers given here are ALL complaints still under investigation that have not been closed, not just the complaints received in the past month. Number of complaints still to be resolved, that have not exceeded <the National CRM Policy for response time> (report total including previous months): Number of complaints still to be resolved that have exceeded <the National CRM Policy for response time> (report total including previous months): 5. Report on Serious Incidents Under this section, serious complaints and issues requiring management attention are documented in detail. These should have already been communicated at the time the issue was discovered. The purpose of including the information here is for broader dissemination and review. If there are no serious incidents, state as such. 6. Other Relevant Data Provide information from other sources that are relevant to the issues raised by or functioning of the CRM. Post Distribution Monitoring Report data is likely to be particularly relevant e.g. % respondents who complained who received a response by the due date. Example: The Post Distribution Monitoring Report for this month found that 25% of respondents who complained had not received a response by the due date. There was a significant increase in number of beneficiaries accessing the CRM. In contrast to the four complaints received about lack of information, the PDM reported 95% satisfaction with information dissemination overall. This requires further investigation as to the particular information gaps identified by the CRM. 7. Reason for change in number of complaints Give reasons for the increase or decrease in number of complaints from the previous month. Note that an increase of complaints may be because of an increase in issues and/or an increase in accessibility and use of the CRM. 8. Recommendations or Action Plan The way this section is written will depend on who writes the reports. If the report is written by the Monitoring and Evaluation department, recommendations are appropriate. However, if the report is written by the Program Manager, it would be more appropriate to include action plans to address the complaints. Recapture important issues needing attention soon State any observations from the field Suggest solutions to some of the problems/challenges Way forward for strengthening the process at field level 208

214 Monthly National Report Template Example Action Plan (this format is not appropriate for recommendations): Action Person Responsible Due Date F 9. Progress on previous recommendations or action plan Use this section to report on last month s action plan or recommendations plus any ongoing or incomplete actions from all of the previous months. Only actions that have been reported as complete should be removed from this section. Action Person Responsible Due Date Status 209

215 Monthly National Report Template F Table 1: Types of feedback and complaints filed by proportion of all complaints. Team Leader Comments included. Type of complaints % Comments from Team Leader <CLASSIFICATION 1 e.g. CURRENT PROGRAMMING ISSUES> <COMPLAINT TYPE> <TEAM LEADER COMMENTS> <e.g. following investigation, genuine lost ration cards are replaced in 2 months> <e.g. 24.3%> <e.g. Loss of ration cards> <CLASSIFICATION 2 e.g. NEW PROGRAMMING SUGGESTIONS> <e.g. X FDP is receiving Milling Vouchers from X. WV is discussing with Y to provide vouchers to FDPs> <e.g. 1.5%> <e.g. provide milling vouchers> 210

216 Monthly National Report Template Table 3: Number of complaints received per Food Distribution Point (data in table is for example only) <DISTRICT> <DISTRICT> <DISTRICT> <DISTRICT> <DISTRICT> Total Type of Complaints FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# FDP# <Category 1> <e.g. loss of ration cards> <Category 2> <e.g. provide NFI to carry water> Total # per FDP % Complaints per FDP v Total # Complaints # HH per FDP % complaints v HH per FDP F 211

217 Monthly National Report Template F Table 4A: Response Time by District for <MONTH> <DISTRICT> <DISTRICT> <DISTRICT> <DISTRICT> <DISTRICT> <DISTRICT> Total Time taken to respond 2 weeks or less; 4 weeks or less; > 2 weeks 6 weeks or less; > 4 weeks 8 weeks or less; > 6 weeks More than 8 weeks Still under investigation Total 212

218 Monthly National Report Template Team Leader Comments F Table 4B: Response Time Comparison Time taken to respond # of complaints this month 2 weeks or less; 4 weeks or less; > 2 weeks 6 weeks or less; > 4 weeks 8 weeks or less; > 6 weeks More than 8 weeks Still under investigation Total # of complaints last month % change on last month Total for year % of total complaints for year 213

219 Protection Resources Food Programming and Protection Annex Protection Resources CRM Support and Resources Food Programming and Protection Child Protection Incident Definitions and Response Protocols

220 Protection Resources Food Programming and Protection Food Programming and Protection About Protection Protection is about ensuring the safety, dignity and rights of individuals and communities, particularly in situations of conflict and natural disaster. State authorities and other actors have obligations to uphold these rights, which are grounded in international law (international human rights law, international humanitarian law and refugee law). P Protection issues can be due to violence (or threat of violence including killing, physical abuse, and sexual violence), coercion (forcing someone to do something against their will including forced recruitment, sexual exploitation, forced labour, forced payment of illegal taxes), or deliberate deprivation (preventing people accessing the goods and services necessary for survival including restriction of movement, looting, destruction of crops/food/livelihoods). World Vision is required to incorporate protection in all its programs. Minimum actions for World Vision are 1) Do No Harm, 2) identify, analyse and respond to protection risks, and 3) ensure processes are in place for staff to respond appropriately to abuses that they witness or hear about during their work. If there is any indication that people are exposed to risk before, during or after food distributions then it is recommended that a more detailed assessment of protection issues be undertaken by protection staff using a protection risk assessment framework. Identifying, analysing and responding to protection risks All assessments should include questions about safety and dignity, and project designs must address these issues (either directly through the way that activities are designed and implemented, or indirectly by ensuring referral mechanisms to specialist protection agencies are established and functioning (legal, medical, psychosocial). A more detailed analysis of protection risks utilises the protection risk equation (Risk = Threat x Vulnerability/Capacity) and will identify who or what is the threat, vulnerabilities (who is vulnerable, at what times and in what locations), and community capacities for protection (what people are already doing, whether positive or negative, to protect themselves). Programming and advocacy activities are then designed to increase protection by reducing threats and vulnerabilities and strengthening positive community self-protection capacities. Mainstreaming protection into food programming 1 The following minimum standards should be met by all food programmes. Staff require basic training that covers the fundamentals of humanitarian protection, mainstreaming protection and an introduction to using the standards to be able to implement them effectively. Common standards for all programmes 1. Agencies prioritise the safety and dignity of disaster-affected populations. 2. Humanitarian response programmes are based on a comprehensive analysis of the context that includes analysis of protection risks. 3. Humanitarian assistance and services are provided equitably and impartially based on the 1 CARE Australia, Caritas Australia, Oxfam Australia and World Vision Australia (2008); Minimum Agency Standards for Incorporating Protection into Humanitarian Response; p7. 215

221 Protection Resources Food Programming and Protection P vulnerability and needs of individuals and groups affected by disaster. Disaster-affected populations are intentionally engaged as informed partners in responding to protection concerns. Agencies recognise the State as the primary actor responsible for protection. The rights, needs and capacities of vulnerable groups are reflected in all stages of agency response. Agencies have policies and procedures to govern advocacy responses to protection concerns. Agencies respond appropriately to incidences of human rights abuses in conformity with their mandate and recognised good practice. Indicators for measuring alignment with these standards can be found on pages 7-16 of the Minimum Agency Standards for incorporating Protection into Emergency Response tool. Minimum Standards for incorporating protection into food programming Key protection issues: Root causes of food insecurity Equitable access Safety of disaster-affected populations prior to, during and after distributions 2 The needs of vulnerable groups Deliberate starvation or deprivation. There are four minimum standards for incorporating protection into food aid and NFI distribution that should be met in addition to the Common standards: 1. The method of food and NFI distribution is responsive, transparent, equitable and appropriate to local conditions 2. Agencies prioritise safety and dignity prior to, during and after food and NFI distributions 3. The requirements of vulnerable groups are considered in food and NFI distributions 4. Agencies involved in food aid distribution identify, and contribute to, addressing protection issues related to the occurrence of food insecurity. Indicators to demonstrate alignment with each of these standards are contained on pages of the Minimum Agency Standards for Incorporating Protection into Humanitarian Response tool. Protection, complaints mechanisms, and responding to abuses If the Building Safer Organisations Guidelines for establishing effective complaints mechanisms (safety, confidentiality, transparency, and accessibility) 3 are met, then such mechanisms will contribute to addressing protection concerns. Key protection issues: Feedback mechanisms should be accompanied by information about the process, information about beneficiary rights and agency responsibilities relating to the programme and awarenessraising of potential threats and risks including those posed by humanitarian workers. Comprehensive mechanisms with multiple entry points provide communities with greater access (such as complaints boxes, help desks, FGD, semi-structured interviews, protection committees trained to monitor and report protection issues) Action or inaction by World Vision must not endanger the safety of survivors, witnesses or other individuals who staff come into contact with. If there is any concern that action might 2 Currently, safety and security issues are generally only considered during food distributions, with inadequate agency attention to safety issues on the route home, and once people have returned home. 3 ICVA (2007); Building Safer Organisations Guidelines: Receiving and Investigating allegations of abuse and exploitation by humanitarian workers; p8. 216

222 Protection Resources Food Programming and Protection cause harm, then no action should be taken until further consultation occurs within the agency. Staff should not undertake in-depth investigations of incidents and should be clear about the limits of them and World Vision to respond. Confidentiality and privacy is of paramount importance. Staff must know what to do if they witness or hear about abuses occurring (such as sexual exploitation, intimidation by armed groups during or after food distributions) World Vision offices should have policies and processes in place to guide staff in how to respond to abuses, and this should not just be the Child Protection policy as this only governs suspected or actual child abuse. Referral pathways to specialist legal, medical and psychosocial agencies should be documented and staff made aware of them. P Key resources Minimum Agency Standards for Incorporating Protection into Humanitarian Response Protection: An ALNAP Guide for Humanitarian Agencies Handbook for the Protection of Internally Displaced Persons Protection of Conflict-induced IDPs: Assessment for Action Protective Action: Incorporating Civilian Protection into Humanitarian Response More information World Vision International Protection Interest Group Lotus protection_interest_group Louise Searle, Humanitarian Protection Advisor, HEA World Vision Australia [email protected] 217

223 Protection Resources Food Programming and Protection World Vision International Guidance Note Child Protection Incident Definitions and Response Protocols P Preamble: The World Vision International Child Protection Policy and Standards provide the basis for every World Vision office and entity to ensure fulfilment of responsibilities regarding protection of children. The following Guidance Note has been updated and clarified based on numerous requests from the Partnership. It provides guidance in how to implement key WVI Child Protection Standards regarding responses to child protection incidents, especially Standards 2.3 and Standards (Allegation/Incident Management Plan). Child Protection Definition: All measures taken to prevent and respond to exploitation, neglect, abuse, and all other forms of violence affecting children. Child Protection Incident Definition: a) Gross violation of child rights to protection from physical or psychological abuse, neglect, exploitation or other forms of violence - including trafficking, sexual and labor exploitation, female genital mutilation and early marriage. b) Any violation of the WVI Child Protection Policy and Standards which puts children in direct risk of harm. c) Any death or serious injury of a child that is under World Visions temporary care, or while participating in a WV activity, or caused by a World Vision staff, volunteer, intern, contractor, consultant, visitor, partner agency or donor/sponsor. Note: Harm, injury or death caused by natural causes, accidents or natural disasters in communities are not considered child protection incidents, unless they fit one of the points listed in the definition above. Child Protection Incident Levels Every Child Protection Incident is important, and every child deserves to be protected. World Vision is therefore committed to the protection of all children. In cases of protection from our staff, or protection during project activities, World Vision has greater responsibility and control than in other arenas of children s lives, and thus also greater liability. World Vision therefore uses a Child Protection Incident Level System, in order to differentiate our response to child protection incidents, according to our responsibility and liability. On the following pages are definitions, purpose of reporting, and response protocols for each of the three Child Protection Incident Levels. The information below is the same for sponsored children and nonsponsored children within WV programme areas, except where specifically noted. Appendix A summarises roles in responding to each type of incident. Responsibility to Report: All staff are responsible to report ANY suspicions of child abuse (or other child protection concerns) involving a staff, volunteer, contractor, consultant, donor, sponsor, visitor, partner or board member. Reports can be made to the: National Office Child Protection Focal Person (who then submits a Child Protection Incident Report), Regional Child Protection Coordinator, WVI Child Protection Associate Director (Phone ), or to WV Integrity and Risk Hotline: Phone ( ) or (worldvision@control-risks. com) Staff will be held accountable to fulfil this responsibility to report. Even if it appears that the incident is being managed well at the local level, all staff who are aware of it are responsible to ensure it is reported to one of the contacts above. 218

224 Protection Resources Food Programming and Protection Response Protocol For Incidents Reported by National Offices Child Protection Definitions and Response Protocol by Incident Level CP Incident Level Definition Purpose of Reporting The NO CP Point person will: A child protection incident that is not committed by World Vision staff member, board/ advisory council member, volunteer, intern, contractor, consultant, donor, sponsor, partner or other WV affiliate. 1. Work with programme/project staff to try to ensure that the child is safe and verify that the child is being cared for in the community, followed up by a credible agency/person, or receiving support from WV. Issues that must be considered include: protection, psychosocial care, medical care, legal support, police involvement, and family support. It is recognised that in some contexts the resources for support will be limited. Ensure that WV has reported/referred the case to proper national bodies who are able to respond (when available). 2. Serious physical or psychological harm, injuries or death of any child from physical and psychological abuse, neglect, exploitation or other forms of violence. Only serious harm should be reported, in which the child s survival, safety or development have been or may be threatened. Level 1 Local media reporting child protection case where WVI may be approached for interview. The purpose of reporting Level 1 incidents is to empower National Offices to identify and take appropriate action in the local context, including: To help offices think through and fulfil their role in providing the right kinds of support and intervention in cases of serious abuse in communities, and thus ensure that WV is never complicit in abuse through neglecting to act. To assist national entities to better understand and respond to the child protection concerns in the communities in which they work, by using the data collected through reports as inputs for programme planning and implementation, including advocacy. Complete the Child Protection Incident report form within 72 hours with all information available. 3. The CP Regional Coordinator will: Provide any helpful advice or support to the National Office. P 219

225 Protection Resources Food Programming and Protection P CP Incident Level Definition Purpose of Reporting Any violation of the WVI Child Protection Policy and Standards which puts children in direct risk of harm. Response Protocol Breaking of any of the following Child Protection Standards not covered under the Level 1 incident definition: o Behavior Protocols o Visitors o Communications about Children. The Purpose of Reporting Level 2 Incidents is to ensure that WV takes all necessary steps to fulfil its responsibility for the following, in order of priority: Protection of children from any harm or risk Taking any necessary actions to ensure that the policy violations will not occur again. Recruitment or Screening red flags (where it is legal to inform others). Stolen/missing child information. Actual or attempted unannounced visit by a sponsor or other donor (Response Protocol is determined by Sponsorship Guidelines). Prepare for and minimise any risks to the organisation associated with the incident, with particular interest to staff security, media and partner/community relations. Inappropriate involvement of children in project activities; for example, children providing hazardous or exploitative labor for project work. The ND/CEO/Core Senior Manager will ensure that a designated person (usually the NO Child Protection Focal Person) does the following: 1. Try to ensure that all potentially affected children are safe 2. Follow the Child Protection Standards for Allegation/ Incident Management. 3. Complete the Child Protection Incident report form within 24 hours with all information available. Following receipt of the Incident report 1. The CP Regional Coordinator will call the NO CP Focal Person to discuss and agree steps to achieve the following: a. Ensure that an appropriate plan of action is developed and agreed upon by NO management, communications, HR, legal and sponsorship (in case sponsored child is affected by the incident) this includes necessary actions to ensure that the policy violations will not occur again. b. Ensure any undertaken action is in alignment with the best interests of the child. c. Agree who else needs to know and be involved in the incident management. The CP Regional Coordinator will then report the 2. situation and response plans to the WVI CP Director. The CP Regional Coordinator will then coordinate 3. support and accountability to the National Office Designee for managing the response, updating the WVI CP Director Level 2 220

226 Protection Resources Food Programming and Protection CP Incident Level Definition Purpose of Reporting A child protection incident in which WV has responsibility to respond and/or protect, and may carry some liability. Response Protocol The ND/CEO/Core Senior Manager will ensure that a designated person (usually the NO Child Protection Focal Person) does the following: Work with local project staff to try to ensure child is safe. Follow the Child Protection Standards for Allegation/ Incident Management. Complete the electronic Child Protection Incident report form within 24 hours with all information available. The Purpose of Reporting Level 3 Incidents is to ensure that WV s best resources of expertise and accountability are applied for the following purposes, in order of priority: Accusation of any form of abuse or harm of a child by any World Vision personnel, volunteer, intern, contractor, consultant, visitor, partner agency/cbo, donor/sponsor or network in which WV is a member. Death or serious injury (including accidents) of a child under WV s temporary care, or while participating in a WV activity, or caused by a World Vision staff, volunteer, intern, contractor, consultant, visitor, or partner agency. Suspected abuser attempting to make contact with children through World Vision. Sponsored child information or other WV child information being used on perverse or sexrelated web sites or other forms of media As much as possible preventing any further harm from occurring to any children by the alleged perpetrator(s) Securing the best interests of all affected children, particularly any survivors of violence Fulfiling organisational responsibilities to support any legal procedures against the alleged perpetrators Prepare for and minimise any risks to the organisation associated with the incident, with particular interest to staff security, media and partner/community relations. Following receipt of Child Protection Incident report: A conference call will be arranged immediately (usually by the CP Regional Coordinator) with the following participants: - CP Regional Coordinator - WVI CP Director - WVI Legal Advisor - WVI Communications Advisor - Regional Communications Advisor - Other senior leadership, as appropriate The phone call has five key objectives: 1. Ensure that all relevant parties are well informed. 2. Ensure appropriate plan of action is developed and agreed upon by NO, child protection professionals, communications, HR, legal and sponsorship (in case sponsored child is affected by the incident). Ensure any undertaken action is in alignment with the 3. best interest of a child. Consider issues of protection, psychosocial care, medical care, legal support, police involvement, and family support. Agree who else needs to know and be involved in 4. incident management. Agree a reporting protocol for updates. 5. P Level 3 221

227 Protection AnnexResources Sample Protection Questions for Including in Food and Non-Food Item (NFI) Distribution Assessments This document has been written based on the book Protection an ALNAP Guide for Humanitarian Agencies by by Hugo Slim and Andrew Bonwick, Available at: protection/index.htm Alert! First, do no harm. Protection assessment questions gather sensitive data that must be collected and managed with due care to minimise inadvertent harm such as exposing participants to greater risk, or other negative effects such as social marginalisation of participants, or risk to those conducting interviews. If you are unsure whether you have sufficient knowledge and understanding to proceed don t. Refer to your manager or protection officer. Prior to commencing the assessment, ensure you introduce yourself, the agency, other staff with you, and the purpose and topic of the assessment. This should include what the information will be used for, what will happen to notes or any subsequent report, and how long the interview will last. Outline people s rights (voluntary participation, ability to leave the interview at any time, the option to not answer a particular question or questions), clarify that names will not be used, and obtain consent to proceed. Where appropriate, give a copy of participants rights in their local language. Protection Risks 1. What issues are affecting the safety, dignity and rights of individuals and groups in this area? Do issues relate to: (tick all those that apply) Violence [ ] Coercion [ ] Deliberate Deprivation [ ] Protection issues may relate to violence, or threat of violence (including physical violence, sexual and gender-based violence, destruction of property and livelihoods), coercion (forcing someone to do something against their will such as sexual exploitation, forced disappearances, forced labour or payment of money and goods at armed check points), and deliberate deprivation (depriving people of something, especially means of survival. This could include restriction of movement, deliberate denial of access to food or crops, denial of humanitarian access, diversion of aid, and denial of basic human rights). Some protection risks will fit more than one category. Any immediate threats to safety and security must be responded to immediately either directly by World Vision, or by reporting and referring to agencies with the mandate and capacity to respond. Threats 2. Who is causing the risk and why? 222

228 Protection Resources The threat may be a person or group of persons who are threatening to cause or are causing the violence, coercion or deprivation. Identifying the motives, interests, frustrations and resources of those causing threats and abuses helps understand why it is occurring. 3. Who is responsible for protection and are they willing and able to respond? The state (including national/local authorities and police) is primarily responsible for protecting all people within the country or territory, including those who are internally displaced, seeking asylum or refugees. Armed actors have specific responsibilities under International Humanitarian Law to protect civilians during international and non-international armed conflict. Assess whether threats and abuses occur because of intentional actions (such as a political or military ideology or strategy) or because of an omission (such as national laws that do not provide protection of human rights or low capacity of the police and justice systems to respond). This involves assessing whether authorities and armed actors are willing and able to fulfil their protection responsibilities. Vulnerability to Risk 4. Who is most at risk from these protection risks and why? Assessing vulnerability to protection risks examines who is being targeted for violence, coercion and deliberate deprivation, why are they being targeted, and what locations or time of day exposes them to greater risk. Vulnerability to risk may affect individuals, specific groups within a population (e.g. ethnic minorities, young men or boys being forcibly recruited into armed forces or categories of person who may be at risk due to their physical vulnerability such as the sick or wounded, pregnant women, children, the elderly, or people with disabilities), or whole communities or populations (e.g. a camp for internally displaced persons). It is important to assess vulnerability to protection risks and not focus on predetermined categories of person. The whole affected population [ ] IDPs/refugees [ ] Host community [ ] Ethnic minority groups [ ] Religious minority groups [ ] Political minority groups [ ] Men [ ] Women [ ] Boys [ ] Girls [ ] Other individuals and groups who may be at risk due to physical vulnerabilities: Elderly [ ] People with disabilities [ ] Pregnant women [ ] Sick/wounded [ ] 5. Where are people most at risk? (Be as specific as possible) At home [ ] On the way to food distributions [ ] On the way home from food distributions [ ] Collecting water [ ] Collecting firewood [ ] Going to or from market [ ] Going to or from school [ ] 223

229 Protection Resources 6. When are people most at risk? (Be as specific as possible) Morning [ ] Afternoon [ ] Early evening [ ] Night [ ] After a food distribution [ ] Capacity and Self-Protection 7. What strategies do individuals and communities have to protect themselves? Assessing existing community strategies for protection involves asking people what they do in response to threats, and what other people do. Document what steps are taken to prevent, avoid or reduce the effect of threats. These coping mechanisms may be positive (such as women moving in groups, or community watch groups) or negative (such as paying taxes or protection money or goods to perpetrators to avoid attack. Agency Action 8. Are people aware of their rights in relation to World Vision s activities in this community? 9. Do you and others feel safe around World Vision staff? Why/Why not? 10. Do you and others know what standards of behaviour World Vision staff must comply with in how they interact with communities, especially children? Individuals and communities need to be informed of their rights in relation to World Vision activities. All staff should be trained in the Child Protection policy and staff Code of Conduct and these should be translated and made available to communities in an appropriate format. You may be able to work with your Communications team to develop this. Appropriate mechanisms for providing feedback to World Vision should be established. Ensuring people have information about accessing humanitarian and development assistance, including targeting criteria and clear information that sexual exploitation and other abuses of power by humanitarian and development workers is not tolerated contributes to the safety and dignity of individuals and communities. 224

230 11. Do you have any other comments? Observations Thank you for your time. 225

231 WVI Offices World Vision International 800 West Chestnut Avenue Monrovia, CA , USA Tel: Web: wvi.org International Liaison Office 6 Chemin de la Tourelle 1209 Geneva, Switzerland Tel: Web: [email protected] European Union Liaison Office 33 Rue Livingstone 1000 Brussels, Belgium Tel: +32 (0) Fax: +32 (0) Web: wveurope.org United Nations Liaison Office 216 East 49th Street, 4th floor New York, NY 10017, USA Tel: Regional Offices Africa P.O. Box Karen Road, Off Ngong Road Karen, Nairobi, Kenya Tel: Web: wvafrica.org Asia-Pacific 555 SSP Tower, 19th floor Unit A&B Sukhumvit 63 (Ekamai) Bangkok 10110,Thailand Tel: Web: wvasiapacific.org Latin America and Caribbean PO Box Edificio Torres del Campo Torre 1, Piso 1 Barrio Tournón, San José, Costa Rica Tel: Web: visionmundial.org Middle East and Eastern Europe P.O. Box Nicosia, Cyprus Tel: Web: meero.worldvision.org For more information, please contact Food Programming and Management Group 5 Main Avenue, Florida M/S P.O. Box 2794 Florida Johannesburg, 1710 South Africa Tel: +27 (0) [email protected] Web: